NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02256 Lannie D. Mitchell, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Lannie D. Mitchell, ("Claimant"), appeared Wm. Jamison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc, ("Respondent"), appeared Bill Powell Guest, Esq., of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Gregory J. Lessard (Respondent) Case Number: 04-02255 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02254 Frank H. Lorch and Frank H. Lorch as Custodian for Carl S. Lorch UTMAIA, Claimants v. Charles Schwab & Co., Inc., Respondent ATTORNEYS: For Claimant Claimants Frank H. Lorch and Frank H. Lorch as Custodian for Carl S. Lorch UTMA IA (collectively "Claimants") appeared pro se through Frank H. Lorch, Spirit Lake, IA. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Br

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02251 Fred W. Rhemrev, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Fred W. Rhemrev, ("Claimant"), appeared Win. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq., of t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., file/a Salomon Smith Barney Inc., Claimant v. Frank Jesus Guzman, Respondent Case Number: 04-02242 Hearing She: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Jerry N. Evans, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: In Propria Persona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresa Robertson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-02239 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David Gaba, Esq. Compass Law Group PLLC Seattle, Washington For Respondent: Erik Lansverk, Esq. Hillis Clark Martin & Peterson Se

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Robert Pearson and James Robert Pearson IRA r Claimants vs. Fidelity Brokerage Services LLC and Scott Nicolas Horton, Respondents Case Number: 04-02217 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer Law Offices of James Jay Seltzer Em

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian D.Currier vs. Linda M. Nikkila and Rick A. Nikkila Case Number: 04-02213 Nature of Dispute: Associated Person vs. Customers REPRESENTATION OF PARTIES Claimants, Brian D. Currier ("Claimant") appeared through Harold G. Ognelodh, Esq., in-house counsel of Merrill Lynch, Pierce, Fenner & smith, Inc. New York, NY Respondents, Linda M. Nikkila and Rick A. Nikkila ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02212 Jacqueline Doennenfeld-Aumann, Claimant v. Citicorp Investment Services, Inc. and Essex National Securites, Inc., Respondents ATTORNEYS: For Claimant Jacqueline Doennenfeld-Aumann ("Claimant") appeared Theodore M. Davis, Esq., Brooklyn, NY. For Respondent Citicorp Investment Services, Inc. ("Citicorp") appeared Jennifer Sender, Esq., in-house counsel, Citicorp Investment Services,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Zomack, Mary Zomack, the Robert Zomack IRA, and the Mary Zomack IRA, (Claimants) vs. Shulka Financial Services, Inc., First Security Investments, Inc., and Patrick McDevitt, (Respondents) Case Number: 00-05773 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Zomack ("R. Zomack"), Mary Zomack ("M. Zomack"), the Robert Zomack IRA ("R. Zomack IRA"