Award NASD Dispute Resolution In the Matter of the Arbitration Between: Obstetric Anesthesia Associates, Inc. (Claimant) v. Valhalla Investment Advisory, Inc. (Respondent) Case Number: 03-00806 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Non-Member. REPRESENTATION OF PARTIES Claimant Obstetric Anesthesia Associates, Inc. ("OAAI") hereinafter referred to as "Claimant": Rex A. Wolfgang, Esq., The Law Office of Rex A. Wolfgang, Ha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00803 Robert M. Ferris, Trustee Edgar V. Nash Family Trust FOB Nancy Nash-Cummings, Claimant vs. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Patricia Pellegrino, and Peter Kelly, Respondents. ATTORNEYS: Claimant, Robert M. Ferris, Trustee Edgar V. Nash Family Trust FOB Nancy Nash-Cummings, appeared pro se, Windsor, VT. For Respondents, Salomon Smith Barney, Inc., n/k

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jane Goldiner Frankel and Ross E. Frankel (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frank Marinace (Respondents) v. Glenn I. Frankel (Third-Party Respondent) Case Number: 03-00800 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person (Initial Claim) Member and Associated Person v. Customer (Third-Party Claim) REPRESENT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Catherine A, Jones v. 03-00794 Denver, Colorado Respondents / Counter-Claimants Investment Centers of America, Inc. and Shaun J. Pitts REPRESENTATION OF PARTIES Catherine A. Jones ("Claimant") appeared pro se. Investment Centers of America, Inc. ("ICA") and Shaun J. Pitts ("Pitts") were represented by Gerry Gunderson of Investment Centers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants James M. Hall, Bob Hall and Patricia Hall Name of the Respondent Roy Thomas Amico Case Number: 03-00793 Hearing Site: Chicago, Illinois Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants, James M. Hall, Bob Hall and Patricia Hall ("The Halls"), hereinafter collectively referred to as "Claimants": D

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen Ritter and Names of Respondents Royal Alliance Associates, Inc. David J. Keosaian, James D. Reisinger Horizons Planning Corporation, and Strategic Journal Transfers Case Number: 03-00792 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member, Associated Persons and Non-Members REPRESENTATION OF PARTIES Ka

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph and Carolyn Murray and 03-00789 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Paul J. Abrams Howard Guggenheim William F. Dodge, H Lisa Kaye Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Joseph and Carolyn Murray ("Claimant") was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jeanette H. McCartney & JHM Trust and 03-00788 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Paul J. Abrams William F. Dodge, E Lisa Kaye Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeanette H. McCartney & JHM Trust ("Claimant") was represent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04382 C. E. Everett and William A. Everett, Claimants vs. J.W. Genesis Financial Services, Inc., Respondent. ATTORNEYS: Claimants, C.E. Everett and William A. Everett, ("Claimants"), appeared Pro Se, Port Isabel, TX. Respondent, J.W. Genesis Financial Services, Inc., ("Respondent"), appeared through its in- house counsel Gregory S. Tendrich, Esq., Boca Raton, FL. DATE FILED: Oc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert E. Britt Case No. 00-00442 Names of Respondents Secwest Securities, Inc. Max International Broker/Dealer Corp. Names of Third-Party Respondents Nigel A. Gilbert Edwin Joseph Forte III David Scott Isolano Joan Karen Isolano REPRESENTATION OF PARTIES For Robert E. Britt ("Britt") hereinafter referred to as "Claimant": William M.