NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08944 Glenn W. Meyer, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Glenn W. Meyer ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B, Grubman ("Respondents"), app

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary J. Monzon (Claimant) v. J.W. Charles Securities, Inc. (Respondent) Case Number: 03-08941 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mary J. Monzon ("Monzon") hereinafter referred to as "Claimant" appeared pro se. Respondent J.W. Charles Securities, Inc. ("J.W. Charles) hereinafter referred to as "Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08940 Long Life Lighting, Inc. by William P. Murphy, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Long Life Lighting, Inc. by William P. Murphy, ("Claimant"), appeared Wm. JemisonMims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Clifford H. Greenbaum v. 03-08935 Denver, Colorado Respondent Protrade Education Center, LLC Nature of Dispute: Customer v. Non-Member with a Contract to Arbitrate REPRESENTATION OF PARTIES Clifford H. Greenbaum ("Claimant") was represented by Michael W. Walker, Esq., Law Offices at City Park, Denver, Colorado. Protrade Education Center, LLC ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Stewart, Claimant v. Inquest Financial, Inc. and Paul James Meeks, IH, Respondents Case Number: 00-01715 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Office of William F. Davis Los Angeles, California For Respondents: Thomas Rittenburg, Esq. Lewis, D'Amato, Brisbois & Bisgaard Los Angeles, Ca

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip Warren Hotchkiss and 03-08931 Phoenix, Arizona Name of Respondent Charles Schwab & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Philip Warren Hotchkiss ("Claimant") was represented by David F. Gomez, Esq., Gomez & Petitti, P.C., Phoenix, Arizona. Charles Schwab & Co., Inc. ("Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Christopher Robertson and Jean Robertson v. 03-08930 Denver, Colorado Respondents A.G. Edwards & Sons, Inc., and Justus Sauerland Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Christopher Robertson and Jean Robertson ("Claimants") were represented by Adam P. Stapen, Esq., Dill, Dill, Carr, Stonebreaker & Hu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08929 Joseph H. Davenport, III W. Thorpe McKenzie Garnett A. Smith The 1998 Garnett A. Smith Family Trust Gas Partners, L.P. The 1999 Garnett A. Smith Holdings Trust Garnett A. Smith Charitable Remainder Uni Trust Garnett A. Family Foundation Hollis E. Davenport Family L.P. Howard Holdings, Inc. Name of the Respondent He

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08927 Ronald S. Bell Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ronald S. Bell, hereinafter referred to as "Claimant": J. Benton Stewart, 11, Esq., The Stewart Law Group, P.L., Tampa, Florida. For Raymond James Fin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rTfltmants rase Number! 03-08925 Peter. Christoflerson Stuart F. Sands John A. Macon William A. BoykmlV Richard E. Aimiger Name nf the Respondent Hearing Site- Washington, D.C. Deutsche Bank Securities, Inc. Nature of the Dispute: Associated Persons vs. Member. KFPKF.SFNTATTON OF PARTTFS Claimants, Peter Christofferson ("Christofferson"), Stuart F. Sa