NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01259 Anthony K. Lagondino, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frederick C. Wong, Respondents ATTORNEYS: For Claimant Anthony K, Lagondino ("Claimant") appeared Gerald S, Clay, Esq., of the firm Stanton Clay Chapman Crurnpton & Iwamura, Honolulu, HI. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frederick C. Wong (collectively "Respondents") app

AWARD NASD Dispute Resolution, Inc. n the Matter of the Arbitration Between David G. Murphy IRA and . 00-05673 Southfield, Michigan Josephthal & Co., Inc., and Randall E. Lindberg . REPRESENTATION OF PARTIES David G. Murphy IRA ("Claimant 11 ) was represented by D. Michael Kratchman Esq., Southfield, Michigan. Josephthal & Co., Inc. (" Josephthal 11 ) and Randall E. Lindberg ("Lindberg"), hereinafter collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adam Stolpen, individually and as Custodian for Anastasia Stolpen and Aaron Stolpen, (Claimant) vs. Salomon Smith Barney Inc. and Joyce Goldfarb, (Respondents) Case Number: 00-00566 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adam Stolpen, individually and as Custodian for Anastasia Stolpen and Aaron Stolpen, hereinafter referred to as "Claimant": Rich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01257 Mohammed Khan Names of the Respondents Hearing Site: Boca Raton, Florida Elangovan Surendran Continental Broker-Dealer Corp., Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Mohammed Khan, hereinafter referred to as "Claimant'* appeared pro se. For Respondent Elangovan Surendran (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Aron Apislorf Names of the Respondents Morgan Stanley DW, Inc. Bennett Adler Jeffrey B. Izsak Case Number: 04-01256 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Aron Apislorf, hereinafter referred to as "Claimant", appeared pro-se. For Morgan Stanley DW, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01251 Marjorie Brantmeyer IRA and Thomas Brantmeyer IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Marjorie Brantmeyer ERA and Thomas Brantmeyer IRA (collectively "Claimants") appeared Andrew Stoltman, Esq., of the firm Maddox Hargett & Caruso, P.C., Chicago, IL. Previously represented by: Peter J. Fox, Esq., of the firm Law Office of Danie

CASE: 04-01244 The Edith Brovender Trust, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, The Edith Brovender Trust, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appeared Bradford D. Kaufman, Esq., o

•JL Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Colombino, Michael Cupak, and DMA Holding LLC (Claimants) v. CIBC World Markets Coporation d/b/a CISC Oppenheimer, Oppenheimer & Co. Inc. d/b/a CIBC Oppenheimer, Lynn De Rentis, Richard William Vincent and Robert Doyle (Respondents) Case Number: 04-01242 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Persons REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joshua Wheeiock (Claimant) v. UBS Securities, LLC, UBS Warburg, LLC, UBS AG, and Michael Rosenberg (Respondents) Case Number: 04-01240 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Joshua Wheeiock ("Wheeiock") hereinafter referred to as "Claimant": Robert D. Kraus, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glena C. Mathews and Glena C. Mathews, IRA, Claimants v. Citigroup Global Markets Inc. and Gary L. Habedank, Respondents Case Number: 04-01233 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For Responde