Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Weintraub, Claimant vs. National Discount Brokers, Respondent Case Number: 00-05579 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Michael Weintraub ("Weintraub"), hereinafter referred to as "Claimant" appeared pro se. Respondent National Discount Brokers ("NDB"), hereinafter referred to as "Respondent": Kerry M. Parker, Esq., Gibbons, DelDeo,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant The Mavis E. Yorke 2000 Insurance Trust ! Name of the Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 04-00374 Hearing Site: Boca Raton, Florida , Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For The Mavis E. Yorke 2000 Insurance Trust, hereinafter referred to as "Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Saverio Verni, Claimant v. Wells Fargo Securities, LLC and Walter R. Albertson, Respondents Case Number: 04-00372 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Assoc. Carlsbad, California For Respondents: Thomas F.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Mikutta, Claimant v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc. and Dennis W. Boneck, Respondents Case Number: 04-00371 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric A, Woosley, Esq. Law Offices of Zilinskas & Woolsey Santa Barbara, Califor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricial Guillen-Loth & Francois Loth, Claimants v. American Express Financial Advisors Inc., Respondent Case Number: 04-00369 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Orousha Brocious, Esq. Aidikoff& Uhl Beverly Hills, California For Respondent: Chad Weaver, Es

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00366 Leigh Peterson, Claimant v. Chris Eriksson, Respondent. ATTORNEYS: Claimant, Leigh Peterson, ("Claimant"), appeared pro se, Birmingham, MI. For Respondent, Chris Eriksson, ("Respondent"), appeared John J. Kilkenny, of the firm Ungaretti and Harris, LLP, Chicago, IL. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: January 20, 2004 CASE SUMMARY: Claimant alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00365 William R. Reffke IRA Rollover, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Dolores Barskis, Respondents. ATTORNEYS: Claimant, William R, Reffke IRA Rollover, ("Claimant"), appeared pro se, Huntley, IL. Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Dolores Barskis, ("Respondents"), appeared through their in-house counsel, Keith G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00363 Marco T. Verni IRA Rollover, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert D'Addario, and James P. Carle, Respondents. ATTORNEYS: Claimant, Marco T. Verni IRA Rollover, ("Claimant"), appeared pro se, Basking Ridge, NJ. Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert D'Addario, and James P. Carle, ("Respondents"), appeared through their in-house counse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Dennis IRA (Claimant) v. Wachovia Securities, LLC and Michael Ewanouski (Respondents) Case Number: 04-00361 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Dennis IRA ("Dennis") hereinafter referred to as "Claimant": Edmund Polubinski, Jr., Esq., Richard and Tyler, LLP, Boston, MA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence M. Polatchek (Claimant) v. Heights Partners, Inc., Richard A. Polatchek, and James Pappas (Respondents) Case Number: 04-00358 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lawrence M. Polatchek ("L. Polatchek") hereinafter referred to as "Claimant": Edward M. Spiro, Esq. and