Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William and Helen Snyder Name nf the Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Number 04-02023 Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, William and Helen Snyder, hereinafter collectively referred to as "Claimants", were represen

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02021 Mark Swab and Noelle Dye, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Mark Swab and Noelle Dye (collectively "Claimants") appeared Marshall P. Richer, Esq. and Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared A. Inge Selden,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 04-02020 Michael Grant Peterson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Michael Grant Petersen, ("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 Bradley B. Rounsavill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janney Montgomery Scott LLC Name of the Respondent Bruce Horner Case Number: 04-02017 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Carrie L. Chelko, Esq., Vice President, Office of General Counsel, Janney Montgomery

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>f the Claimant RuthK.Hagy Nnrnhfir 00-05761 Name of the Respondents Merrill Lynch Pierce Fenner & Smith Inc., and Frederick John Hoey Sfav Philadelphia, Pennsylvania REPRESENTATION OF PARTTF.S Claimant Ruth K. Hagy, hereinafter collectively referred to as "Claimant", was represented by Douglas R. Lally, Esq., Attorney at Law, Jenkintown, Pennsylvania. Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02016 Raymond James Financial Services, Inc., Claimant v. Robert Jenak, Respondent ATTORNEYS: For Claimant Raymond James Financial Services, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James Financial Services, Inc., St. Petersburg, FL. Respondent Robert Jenak ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. G. Edwards & Sons, Inc. and Jeffrey Sica Claimants vs. Ralph Demiranda and Janice Demiranda Respondents. CASE 04-02014 REPRESENTATION OF PARTIES For Claimants: Christine Lazaro, Esq., Davidson & Grannum, LLP, 207 Washington Street, Northvale, NJ 07647 For Respondents: Eric Norstedt, Esq., Law Office of Eric Norstedt, P.A., One Financial Plaza, 100 South East Th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the. Claimant AnandaB. Chellapan Name nf the. Respondent Scottrade Financial Services Case. r 04-02010 aring Site.- Richmond, Virginia Nature of the Dispute: Customer vs. Member. RRPRRSFNTATTON OF PARTTFS Claimant, Ananda B. Chellapan, hereinafter referred to as "Claimant", was represented by Joseph W. Kaestner, Esq., Kaestner and Associates, P.C., Richm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Frodigh (Claimant) v. RBC Dain Rauscher, Inc. (Respondent) Case Number: 04-02009 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter T. Frodigh ("Frodigh") hereinafter referred to as "Claimant": Robert R. Berluti, Esq., Berluti & McLaughlin, LLC, Boston, MA. Respondent RBC Dain Rauscher, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riamrant Past* Kimiher 04-02005 Patricia Wilson Name of thg Respondent Hearing Site- Washington, D.C. UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSFNTATTON OF PARTIES Claimant, Patricia Wilson, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respondent, UBS Financial Services, Inc.,