Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants < Thomas M. Rice, IRA, Edith Pauline and Thomas M. Rice JTTEN Janet Sue Argent & Thomas Rice JTTEN Name of the Respondent Goelzer Investment Management Case Number: 04-02756 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas M. Rice, IRA (T. Rice), Edith Pauline (E. Rice) and Thom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Russ, Jr., and Thomas Russ Jr., IRA Rollover DTD 6/17/00 (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Undra Johnson (Respondents) Case Number: 04-02754 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Thomas Russ, Jr. ("Russ"), and Thomas Russ Jr., IRA Rollo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00021 Larry W. Barkely, Claimant vs. David R. Nichols, Cheryl A. Walkenhorst, Cindy Y. Thomas & Zions Investment Securities, Inc., Respondents. ATTORNEYS: Claimant appeared Pro Se., Ignacio, CO. Respondents appeared through David R. Nichols, Senior Vice President of compliance, Zion Investment Securities, Inc., Salt Lake City, Utah. DATE FILED: January 3, 2001 CASE SUMMARY: Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold T. Randolph (Claimant) v. Ameriprop, Inc. and Anthony Otto DeGregorio, Sr. (Respondents) Case Number: 04-02725 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimant Harold T. Randolph ("Randolph") hereinafter referred to as "Claimant": Barry R. Lax, Esq., The Lax Law Firm, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Belknap, Claimant v. Morgan Stanley DW Inc. a/k/a Morgan Stanley Dean Witter, Eloise J. Rich, Susan Lee Dehen, and Lisa Ann Detanna, Respondents Case Number: 04-02724 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents Morgan Stanley DW Inc. a/k/a Morgan Stanl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ... American Express Financial Advisors, Inc. (Claimant) vs. Frank P. Marzano (Respondent) Case Number: 04-02723 Hearing Site: New York City, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant American Express Financial Advisors, Inc., hereinafter referred to as "Claimant": Michael. A. Zaretsky, Esq., Chorpenning, Good & Pandora Co., LPA,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leon Shelton (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 04-02709 Hearing Site: Covington, Kentucky Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Leon Shelton ("Shelton") hereinafter referred to as "Claimant": Duane E. Tobias, Esq., previously Debra Brewer Hayes, Esq., Woska & Hayes, L.L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas P. Matula, individually and as trustee of the Matula Family Trust U/A DTD 11/11/1992, Claimants v. Edward D. Jones & Co., UBOC Investment Services Incorporated, Ruth Ann Nickell, a/k/a Ruth Ann Bates, a/k/a Ruth Ann Clark, and Daniel Thomas Tinney, Respondents Case Number: 04-02707 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ladenburg Capital Management, Inc. (Claimant) v. Mauricio Valencia (Respondent) Case Number: 04-02706 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ladenburg Capital Management, Inc. ("Ladenburg") hereinafter referred to as "Claimant": David Hirschberg, Esq., Wexler & Burkhart, P.C., Mitchel Field, NY. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ehson Salaami, Claimant v. Datek Online Financial Services, LLC and Ameritrade, Inc., Respondents Datek Online Financial Services, LLC and Ameritrade, Inc., Counter-Claimants v. Ehson Salaami, Counter-Respondent Case Number: 04-02702 Hearing Site: San Diego, California Nature of the Disputes: Customer v. Members Members v. Customer REPRESENTATION OF PARTIES For Claimant/