Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-01959 Donna R. Venski Stanley J. Venski Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. Robert F. Finnigan Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Donna R. Venski and Stanley J. Venski, hereinafter collectively referred to as "Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark L. Preston and 03-01956 Nashville, Tennessee Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Mark L. Preston ("Claimant") was represented by Isham B. Bradley, Esq., Brentwood, Tennessee. Citigroup Global Markets, Inc. ("Respondent") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janet Newman, the Newman Family Trust, the Newman Testamentary Trust, and Culver Shoe Corporation, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc. and Susan Wingard, Respondents Case Number: 03-01954 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Gregory J. Sherwin, Esq. Fi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Boris Vaysburd, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-03571 Hearing Site: New York, New York REPRESENTAHQN OF PARTIES Claimant, Boris Vaysburd, hereinafter referred to as "Claimant": G. Alexander Novak, Esq., Novak & Juhase, New York, NY. Respondent, TD Waterhouse Investor Services, Inc., hereinafter referred to as ~ "Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: SUZANNE BOREN, Claimant, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ROBERT V. CECIL and NANCY A. SHERTZER, NASD Arbitration # 03-01950 PFPPFSFNTATTON OP Claimant Suzanne Boren, hereinafter referred to as "Claimant," was represented by Arthur Hewett, P.O. Box F-2, Snowmass, CO 81615. Respondents Merrill Lynch, Pierce, Fenner & Smith Incorpo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Stacey Stewart and Julie Stewart Name of the Respondent Robert W. Baird & Co., Inc. Case Number: 03-01946 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Tracy Pride Stoneman, Esq., with Law Offices located in Westcliffet, Colorado, represented Claimants Stacey Stewart and Julie Stewar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret K. White (Claimant) v. HSBC Brokerage (USA) Inc., ALPS, Inc., and John C. Chiarenza (Respondents) Case Number: 03-01941 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret K. White ("White") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Donald G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmela Miceli and Carmela Miceli IRA (Claimants) v. A.G. Edwards & Sons, Inc. and Jeffrey Sica (Respondents) Case Number: 03-01940 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Carmela Miceli ("Miceli") and Carmela Miceli IRA ("Miceli IRA") hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. (Claimant) v. Robert Wayne Alcus (Respondent) Case Number: 03-01939 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John D. Hagan Barry A. Henry Orville Hudgins John Manning and Daniel W. Murtha vs. Names of Respondents JJ.B. Milliard, W.L. Lyons, Inc. and David T. Barnett Case Number: 03-01935 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES John D. Ha