CASE: 04-00693 Dinesh V. Sheth, Claimant vs. L.H. Ross & Company, Inc. and Dean Russell Baker, Respondents ATTORNEYS: Claimant appeared pro se, Madison, AL. For Respondents L. H. Ross & Company, Inc. and Dean Russell Baker ("Respondents") appeared Alan P. Fraade, Esq., of the firm Mintz & Fraade, P.C., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person. DATE FILED: February 3, 2004. CASE SUMMARY: Claimant alleged that Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00692 Wachovia Securities, LLC, Claimant v. Sean K. Bars, Respondent. ATTORNEYS: Claimant, Wachovia Securities, LLC, ("Claimant"), appeared through its in-house counsel, Douglas D. Callaway, Richmond, VA. Respondent, Sean K. Bars, ("Respondent"), appeared pro se, Benton, AR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 3, 2004 CASE SUMMARY: Claimant alleged tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Awed (Claimant) vs. Cantella & Co., Inc., SAL Financial Services, Inc., Spear, Leeds & Kellogg, Carlin Equities Group, and Murjen Financial, Inc. (Respondents) vs. Olympia Asset Management, Michael P. Murphy, James Pangione, and Timothy Rassias (Third-Party Respondents) vs. Cantella & Co., Inc. (Cross-Claim Respondent) Case Number: 04-00691 Hearing Site: Boston, Massachusetts N

11/15/2004 10:22 FAI 212 858 4389 NASD REGULATION Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard J. Goldberg (Claimant) v. Prudential Financial, Inc., Kristi Ritter, and Haroon Saeed (Respondents) Case Number: 04-00690 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Howard J. Goldberg ("Goldberg") hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Adonakakis (Claimant) v. Shields & Company and Jacques Chrysochoos (Respondents) Case Number: 04-00689 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George Adonakakis ("Adonakakis") hereinafter referred to as "Claimant": Hassan H. Elkhalil, Esq., Elkhalil & Associates, LLC, Marietta, GA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janet Skony Names of the Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and John Kellar Case Number: 04-00683 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Janet Skony, hereinafter referred to as "Claimant": William S. Isenberg, Esq

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Carolyn and Alfred Adamo, as guardians for their incompetent daughter, Alissa Adamo v. Respondents Randall S. Appel, Appel Financial Planning Ltd., Strategic Assets, Inc. and Ameriprop, Inc. Case Number: 00-05600 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimant Carolyn and Alfred Adamo, as guardians for their incompetent daughter, Al

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard D. Hampton, Kathryn A. Wadley, and Shannon Hampton and Case Number: 04-00671 Hearing Site: Oklahoma City, Oklahoma Names of Respondents ING Financial Partners, Inc., f/k/a Washington Square Securities, Inc., Robert B. Benjamin, and J. David Weston NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Elizabeth Dickinson and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Terence Anthony Palleschi Case Number: 04-00669 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth Dickinson ("Claimant") was represented by Victor Morris, Esq., and Bradford T. Yake

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Roy Brumbill and Case Number: 04-00666 Hearing Site: Troy, Michigan Respondents American Express Financial Advisors, Eric G. Jacobs and James C. Weinrich NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Roy Brumbill ("Claimant") was represented by Anthony R. Paesano, Esq., and John A. Hubbard, Esq., Beals Hubbard P