Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC. Case Number: 03-07821 Name of the Respondent Hearing Site: Atlanta, Georgia Carl M. Drury Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC., hereinafter referred to as "Claimant": Diane C. Fischer, Esq. and Jennifer L. Klebes, Esq., Kane & Fischer, Ltd., Chica

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Frederic B. Engel, TTEE for the Ethan R. Engel Trust v. 03-07820 Denver, Colorado Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of Dispute: Customer v. Member Firm REPRESENTATION OF PARTIES Frederic B. Engel, TTEE for the Ethan R. Engel Trust ("Claimant") appeared pro se. Citigroup Global Markets, Inc. f/k/a Salomon Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vega Ventures, LLC (Claimant) v. Sonic Technologies, LLC (Respondent) Case Number: 03-07819 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Vega Ventures, LLC ("Vega") hereinafter referred to as "Claimant": Anthony Lenza, Esq., Tobias Lenza, President, Vega Ventures, LLC, Staten Island, NY. Respondent Sonic Technolo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07818 Rick Kozell, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubtnan, Respondents ATTORNEYS: " ~ ~ ~ " For Claimant Rick Kozell ("Claimant") appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harold Reitzner and Genevieva Reitzner and Case Number: 03-7817 Hearing Site: Milwaukee, Wisconsin Name of Respondent Sll Investments, Inc., Sentra Securities Corporation, Valley Financial Group, Inc., and Patrick R. Surprise NATURE OF DISPUTE Customers v. Members REPRESENTATION OF PARTIES Harold Reitzner and Genevieva Reitzner, ("Claimants"), wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Allen B. Cohen Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-07813 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Allen B. Cohen, hereinafter referred to as "Claimant": William Young, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 00-01581 Joan P. Hofmann, claimant vs. Morgan Stanley Dean Witter, respondent. ATTORNEYS: Claimant appeared pro se, Tampa, FL. For Respondent appeared in-house counsel, Allison B. Doneghey, Esq., Sarasota, FL. DATE FILED: April 14, 2000 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claimant negligently managed her account and made purchases that were un

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities LLC and Name of Respondent Lawrence R. Kinney Case Number: 03-07812 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Member v. Associated Person REPRESENTATION QF PARTIES Wachovia Securities LLC ("Claimant") was represented by Ron Kane, Esq., of Kane & Fischer, Ltd., located in Chicago, Illinois. ' r Lawrence R.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Wanda and Sharyl Waldron and Respondents Sentra Corporation, Frank A. Badger and Lewis A. Badger Case Number: 03-07810 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Wanda and Sharyl Waldron ("Claimants") were represented by Eric S. Richards, Esq., Mika Meyers Beckett

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Fortis, Inc. v. Respondent CUNA Brokerage Services, Inc. 03-07808 Minneapolis, Minnesota Nature of Dispute: Non-Member v. Member REPRESENTATION OF PARTIES Fortis, Inc. ("Claimant") was represented by James B. Lynch, Esq., of Dorsey & Whitney, LLP, Minneapolis, Minnesota. CUNA Brokerage Services, Inc. ("CBSI") was represented by Paul R. Norman, Esq., o