Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennifer Solomon Case Number: 01-6816 (Claimant) Salomon Smith Barney, Inc. Hearing Site: New York, NY n/k/a Citigroup Global Markets Inc. John B. Hoffman Kevin J. McCaffrey (Respondents) REPRESENTATION OF PARTIES Claimant, Jennifer Solomon ("Solomon"), hereinafter referred to as "Claimant": Neal Brickman, Esq., The Law Offices of Neal Brickman, New York, NY. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William E. Bright v. Salomon Smith Barney Case Number: 01-06810 Hearing Site: Seattle, Washingtpn REPRESENTATION OF PARTIES For Claimant: For Respondent: William E. Bright In Pro Per Seattle, Washington Liam A. McCann, Esq. Miller Nash, LLP Seattle, Washington CASE INFORMATION Statement of Claim filed: December 14,2001 Claimant's Uniform Submissio

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06809 Florence Ziehrn and Donna Shantz Name of the Respondents Hearing Site: Chicago, Illinois Linsco/Private Ledger Corp. and Terry Gourley MENTATION Claimants, Florence Ziehm and Donna Shantz, hereinafter collectively referred to as "Claimants:" Andrew J. Stoltman, Esq. of the firm Maddox, Koeller, Hargett & Caruso with offices lo

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06B07 Dennis J. Robson Carolyn K. Robson Names of the Respondents Hearing Site: Tampa, Florida Legg Mason Wood Walker, Inc. William S. Schroeder William W. Schroeder REPRESENTATION OF PARTIES For Dennis J. and Carolyn K. Robson ("Robson"), hereinafter collectively referred to as "Claimants": Stephen D. Spivey, P.A., Ocala, Florida. For Legg Ma

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Mary Ann Hoehn V. 01-06806 Minneapolis, Minnesota Respondents Morgan Stanley Dean Witter, Inc., and Michael J. Bills REPRESENTATION OF PARTIES Mary Ann Hoehn ("Claimant") appeared pro se. Morgan Stanley Dean Witter, Inc. ("MSD"W") and Michael J. Bills ("Bills") were represented by Douglas F. Stone, Esq., of Morgan Stanley Dean Witter, New York, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald J. Beaudry and Gladys Beaudry, Donald J. Beaudry IRA, Gladys Beaudry IRA, Donald J. Beaudry as TTEE of the Beaudry Adjustment, Ltd. Defined Benefit Pension Plan, and Beaudry Adjustment, Ltd., Claimants v. Prudential Securities Incorporated and Ricardo J. Miller, Respondents Case Number: 01-06804 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants: Jay T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02423 Wall Street Access, Claimant vs. Hanif Muhammad, Respondent. ATTORNEYS: Claimant, Wall Street Access, ("Claimant"), appeared through Joseph A. Mendola, VP Compliance, New York, NY. Respondent, Hanif Muhammad, ("Respondent") did not submit an answer to the Statement of Claim. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to satisfy his fina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^f fir 3 f foimflflffl £*fl w Nuttier: 01-06797 Ralph and Jacqueline Grosso - nf t}\? T?p< ^ppp^^ni^ T^f^aring ftite- Philadelphia, PA Salomon Smith Barney Inc. Steven J. Kartchner PttF.S.NT ATOV O Claimants, Ralph and Jacqueline Grosso ("Grosses")? hereinafter collectively referred to as "Claimants": Brian H. Reis, Esq., Brian Reis Associates, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Cooperman, (Claimant) vs. Prudential Securities Incorporated and Charles Portney, (Respondents) Case Number: 01-06795 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Cooperman, hereinafter referred to as "Claimant": Adolph D. Seltzer, Esq., a sole practitioner, New York, NY. Respondents, Prudential Securities Incorporated ("PSI") and Charles Po

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06792 Anthony G. Blandi Names of the Respondents Hearing Site: Tampa, Florida John M. Delavan and Edward Jones REPRESENTATION OF PARTIES For Claimant Anthony G. Blandi, hereinafter referred to as "Claimant 11 : William B. Pringle, III, Esq., William B. Pringle, III, P.A., Orlando, Florida. For Respondents Edward D. Jones & Co. and John M. Delavan, h