Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chatsworth Securities, LLC (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 03-07762 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Chatsworth Securities, LLC ("Chatsworth") hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Greenwich, CT. Respondent Bear S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Jane Schwartz (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 03-07760 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mary Jane Schwartz hereinafter referred to as "Claimant": Daniel R. Solin, Esq., Kevin M. Kinne, Esq., Cain, Hibbard, Myers & Cook, PC., Pittsfield, MA. Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bryce A. Dawson and Francoise Dawson (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Mike Northcott, Bruce Ledoux, and Daniel Simiele (Respondents) Case Number: 03-07759 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Bryce A. Dawson ("B. Dawson") and Francoise Dawson ("

NASD DISPUTE RESOLUTION AWARD NASD OlSPUTE RESOLUTION CASE: 03-07758 Kathleen T. Cermak, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: ~~~~~ For Claimant, Kathleen T. Cermak, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Catherine W. Main, Es

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07757 Marvin Kohl IRA, Elayne Kohl IRA, and Elayne Kohl, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: Claimants, Marvin Kohl IRA, Elayne Kohl IRA, and Elayne Kohl, ("Claimants"), appeared pro se, No. Woodmere, NY. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared through its in-hou

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07756 Yingmin Zhang and Yingmin Zhang IRA v. Jackie L. Schaider, World Group Securities, Inc., WMA Securities, Inc., and Idex Mutual Funds, Respondents. ATTORNEYS: Claimant, Yingmin Zhang and Yingmin Zhang IRA, ("Claimant"), appeared pro se, Houston, TX. Respondents, (collectively "Respondents"): For Respondent, Jackie L. Schaider, ("Schaider"), appeared James A. Kohl, Esq., of the firm

NASD MSltmE.MSOLtmON AWARD NASP DISPUTE RESOLUTION CASE: 03-07755 Iris MaxweH Derosa, Claimant vs. Merril) Lynch,, Pierce, F€ajmer & Smilfc, Inc., Raqio&clent ATTORNEYS; (^ For Respondent Mctrill Lyncih, Pierce, Fentter & Smith, IDC. ('^Respondent") appeared Meiinda J, Lucas, Esq., of flw firm Mayoard, Cooper & Gd^P.CjBtan NATURE OF DISPUTE: Customer vs. Member. DATE BLED: October 2S, 2003. CASE SUMMARY: QaiinmtaUegedthriRes^ contract,, negl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tne riaimant Pase Niimhftr 03-07753 Barry Cunningham Name, nf the Respondents Hearing Site: Pittsburgh, PA J.J.B. Milliard, W.L. Lyons Inc. d/b/a PNC Investments, Colleen Hanavan and Walter Scheide Nature of the Dispute: Customer vs. Member and Associated Persons. KFPRKSFNTATTON OFPAftTTFS , \ Claimant, Barry Cunningham, hereinafter referred to as "

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Rousseau, Arthur Rousseau, and Louis Rousseau, (Claimants) v. David A. Noyes & Company, Howard Borenstein, and Richard Lazer, (Respondents) Case Number: 00-01568 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant David Rousseau, Arthur Rousseau, and Robert Rousseau: Bruce Lewitas, Esq., Law Office of Bruce Lewitas, Chicago, Illinois. Respondent Da

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-07749 Robert and Judith Reindl nf the Respondent Hearing Site: St. Louis, Missouri Citigroup Global Markets, Inc. Customers vs. Member Firm S Steven Koslovsky, Esq. located in Maryland Heights, Missouri represented Claimants, Robert and Judith Reindl ("Reindl"), hereinafter collectively referred to as "Claimants." Tzivia A. Masliansk