Award NASD Dispute Resolution In the Matter of the Arbitration Between: r>f fop Plai^apt Pflpp. >fr ir nfrp r 04-02800 Nancy L. Branch, as Executor of the Estate of Beverly L. Branch, Deceased tfi* Dallas, Texas Prudential Equity Group, LLC and John A. Mogk OFTTTIT TMSPTTTF Public Customer v. Member Firm and Associated Person Claimant Nancy L. Branch, as Executor of the Estate of Beverly L. Branch, Deceased, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant • Case Number: 04-02796 Estate of Alfred D. Rappaport Names of the Respondents Hearing Site: Boca Raton, FL Morgan Stanley DW Inc. Richard Jay Berger Megan Marie McGrath Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For the Estate of Alfred D. Rappaport ("Rappaport"), hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James D. Gerlach Case No. 01-00029 Names of Respondents J. C. Bradford & Co. n/k/a UBS PaineWebber, Inc. as successor Buckman, Buckman & Reid, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For James D. Gerlach ("Gerlach"), hereinafter referred to as "Claimant": Gerald B. Kline, Esq. of Sims Moss Kline & Davis LLP, Atlanta, Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pauline S. Hamil, Claimant v. Ross Edwin Lamberts and WMA Securities, Inc., Respondents Case Number: 04-02787 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California For Respondent WMA Securities, Inc.: Michael A. Firestein, Esq

CASE: 04-02782 Dunlevy & Co., Incorporated, Claimant v. Dupont Securities Group, Inc. and David Wayne Parsons, Respondents ATTORNEYS: Claimant, Dunlevy & Co., Incorporated, ("Claimant"), appeared through in-house counsel, Paul E. Gorman, New York, NY. Respondents Dupont Securities Group, Inc. and David Wayne Parsons did not file Statements of Answer in this matter. Dupont Securities Group, Inc. and David Wayne Parsons are hereinafter collectively referr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lonnie Wright and Case Number: 04-02777 Hearing Site: Louisville, Kentucky Names of Respondents Seaboard Securities, Inc., and Dylan Joseph Howell NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lonnie Wright ("Wright" or "Claimant") was represented by Scott A. Lane, Esq., Edgar Snyder & Associates, LLC, Pittsburgh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberlyn Underwood, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Riley O. Etheridge, Jr., Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated, Counter-Claimant v. Kimberlyn Underwood, Counter-Respondent Case Number: 04-02774 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person Member v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numher- 04-02769 Alain Silvera Name of the Respondent Hearing Site: Philadelphia, Pennsylvania Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Alain Silvera, hereinafter referred to as "Claimant", was represented by Adam M. Green, Esq., and Aismara J. Abreu, Esq., Anapol, Schwartz, P.C.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohan Goel and Ibrahim Khan, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and John D. Bacich, Respondents Case Number: 04-02763 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Douglas A, Ames, Esq. Law Offices of Douglas A. Ames Huntingto

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Niforos Names of the Respondents Morgan Stanley Dean Witter & Co. Thomas George Parker Case Number: 04-02758 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Niforos, hereinafter referred to as "Claimant": Jan Douglas Atlas, Esq., Adorno & Yo