Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Case Number- 04-00618 Ronald E. and Mai Y. Plyler Names nf the TiegprmHentg Hearing Site* Pittsburgh, PA Allmerica Investments, Inc. Veravest Investments, Inc. Nature of the Dispute: Customers vs. Members RFPRFSFNTATTON OF PARTIES Claimants, Ronald E. and Mai Y. Plyler, hereinafter collectively referred to as "Claimants", were represented by Robert W. Go

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00612 UBS Financial Services, Inc. f/k/a UBS Paine Webber, Inc., Claimant v. Sally H. Kim, Respondent. ATTORNEYS: For Claimant, UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., ("Claimant"), appeared Deborah H. Gottlieb, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent, Sally H. Kim, ("Respondent"), did not submit a response to the Statement of Claim. NAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the Claimant Case Number: 04-00611 Herbert. Andrew Boerstling Names nf the Respondents Hearing Site: Washington, D.C. Prudential Equity Group, LLC Robert S. Wright Sheldon Ray, Jr. Douglas Richards Forrest Williams Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Herbert Andrew Boerstling, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Restifo (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Kevin Doss (Respondents) Case Number: 04-00608 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David C. Restifo ("Restifo") hereinafter referred to as "Claimant": Thomas A. Muzilla, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy J. Foley, Individually, Carol A, Foley, Individually, Timothy J. Foley and Carol A. Foley JTWROS (Claimant) v. Michael DeVito and Cadaret, Grant & Co. (Respondents) . Case Number: 04-00605 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Timothy J. Foley, Individually (T. Foley),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Sturmer (Claimant) v. Metlife Securities, Inc., Nicholas Larusso, Paul D'Amico and Douglas James (Respondents) Case Number: 04-00604 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Carol Sturmer ("Sturmer") hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Abe J. Goldsmith Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and E. Stanley O'Neal Ca_se Number: 04-00600 Hearing Site: Chicago, Illinois Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Abe J. Goldsmith ("Goldsmith") appeared pro se. Corin R. Swift, Esq., Timothy P. Burke, Esq.,.and Jenni

Award NASD Dispute Resolution In the Matter of the Arbitration Between Emmett A. Larkin Company, Case Number: 00-055158 , Claimant v. U.S. Clearing Corporation, Respondent Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondent: James A. Hughes, Esq. Sullwold & Hughes ; San Francisco, California Cameron Stout, Esq. Jody Willson, Esq. Keesalj Young & Logan San Francisco, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert M. Cochran Case No. 00-00558 Harne of Respondents Stifel, Nicolaus & Co., Inc.; and Bryan Cave, LLP Claimant Robert M. Cochran ("Cochran") was represented by Ben L. Krage, Esq.. Krage & Janvey, L.L.P.. located in Dallas, Texas. Respondent Stifel, Nicolaus & Co., Inc. ("Stifel") was represented by Dennis M. Kelleher, Esq., James R. Carroll, Esq. and Stacie L.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Harry E. Igou and wife, Jessie C. Igou Names of the Respondents Herbert E. Goodner d/b/a Master Financial Group, Multi-Financial Securities Corporation and Royal Alliance Associates, Inc. Case Number: 04-00595 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O