Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maxim Group, LLC (Claimant) v. Stuart N. Kingoff (Respondent) v. Maxim Group, LLC (Counterclaim Respondent), Maxim Partners, James E. Siegel, Mitchell Fitter, Michael Rabinowitz, and Edward L. Rose (Third-Party Respondents) Case Number: 03-08977 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person (Initial Claim). Associated Person v. Member (Count

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08972 Paul F. Nemzek, IRA Name of the Respondent Hearing Site: Tampa, FL Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul F. Nemzek, IRA, hereinafter referred to as "Claimant": Jeffrey P. Coleman, Esq., Coleman Law Firm, Clearwater, FL. For Raymond James Financial Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant The Ted Hymel IRA Name of the Respondent Morgan Stanley DW, Inc. Case Number: 03-08970 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For The Ted Hymel IRA, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P. C., Baton Rouge, Louisiana. For Morgan Stanley D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 00-01721 Susan K. Reiter and Michael A. Reiter, claimants vs. National Discount Brokers Corp. respondent. ATTORNEYS: Claimants appeared through Susan K. Reiter, Pro Se, Chicago, IL. For Respondent appeared Richard Cadigan, Vice President of Compliance, Jersey City, NJ. DATE FILED: April 24, 2000 CASE SUMMARY: Claimants alleged that they purchased 25,000 shares of AIPN at $1.00 per

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08957 Dorothy J. Koti, (Claimant) vs. Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: ~~~ " For Claimant appeared Marshall P. Richer, Esq.., of the firm Finkelstein & Partners, Albany, NY. For Respondents appeared Michael D. Wallander, Esq., of the firm Greenberg Traurig, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Custo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08956 Sylvia R. Magdalin, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Sylvia R. Magdalin, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08955 James Allen Lambert Peggy Ann Lambert Name of the Respondent Hearing Site: Atlanta, Georgia SWS Financial Services Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James Allen Lambert and Peggy Ann Lambert, hereinafter collectively referred to as "Claimants": Kevin M. Kinne, Esq., Cain Hibbard Myers &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08949 i •" * Warren R. Marschat & Alice Marschat JTWROS, Claimants v. UBS-Financial Services, Inc., f/k/a UBS PaineWebber, Inc., William G. Davis, III, and Linda J. Baber, Respondents. ATTORNEYS: Claimant, Warren R. Marschat & Alice Marschat JTWROS, ("Claimants"), appeared pro se, Palm Beach Gardens, FL. Respondents, UBS Financial Services, Inc., f/k/a UBS PaineWebber, Inc., William G. D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08946 Nicholie A. Ashcraft, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Nicholie A. Ashcraft, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, app

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08945 William A. Kline & Rhonda O. Kline JTWROS, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, William A. Kline & Rhonda O. Kline JTWROS, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith