Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Glenn Curtis and Rosemary Curtis, Steven Glenn Curtis Profit Sharing Plan, Kaiser Sose Limited Partnership, and Glenn Curtis (Claimants) v. Cantone Research, Inc., Anthony J. Cantone, and Christine L. Cantone (Respondents) Case Number: 00-05772 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02176 Richard M. Hughes and Timothy M. Hughes Claimants vs. Trinix Securities, LLC, Respondent ATTORNEYS: For Claimants, Richard M. Hughes and Timothy M. Hughes ("Claimants") appeared Frank A. Nonis, Jr., Esq., of Great Eastern Securities, Inc., Syosset, NY. For Respondent, Trinix Securities, LLC, ("Respondent") appeared Stephanie R. Finkelstein, Esq., of the firm Seyfarth Shaw, LLP, Los Ang

CASE: 04-02175 Stephen Schelz, Claimant v. Harrison Securities, Inc., Respondent ATTORNEYS: Claimant Stephen Schelz ("Claimant") appeared pro se, Stamford, CT. Respondent Harrison Securities, Inc. ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: March 30, 2004. CASE SUMMARY: Claimant alleged that Joseph Broyles, a broker at Harrison Securities, Inc. purchased shares of Netgear with

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02174 Matthew P. Vaughn, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Matthew P. Vaughn, ("Claimant"), appeared Wm. 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 Stephen C. Jackson, Esq., of th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth M. Brodine, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Diane M. Carter, Respondents Case Number:04-02159 Hearing Site:Portland. Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Celeste Chiaramonte, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondents: Thomas C. Sand, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02156 Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. John Posey John McKeehan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold Fagg and Karen Fagg, hereinafter collectively referred to as "Claimants": Scott L. Silver, Esq., Blum, Silver &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hyman B. Taitelman Names of the Respondents Morgan Stanley DW, Inc. Donald Horras Case Number: 04-02155 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hyman B. Taitelman, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Nathan and Marilyn Finkelstein Name of the Respondent Citigroup Global Markets, Inc. a/k/a Salomon Smith Barney, Inc. Case Number: 04-02148 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nathan and Marilyn Finkelstein, hereinafter collectively referred to as "Claimants": Bradley R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pedro Liriano (Claimant) v. Advest, Inc. and Patrick Buettner (Respondents) Case Number: 04-02146 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pedro Liriano ("Liriano") hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., Williamsville, NY. Respondents Advest, Inc. ("Advest") and P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02137 Frederick Weiner and Maria Weiner, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Frederick Weiner and Maria Weiner (collectively "Claimants") appeared Wm. 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. ("Respo