Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07481 Larry Newland Jeanie Newland Name of the Respondent Hearing Site: Boca Raton, Florida Northeast Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry Newland and Jeanie Newland, hereinafter collectively referred to as "Claimants": Scott L. Silver, Esq. and Darren C. Blum, Esq., Blum,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Mello (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, R. Sheldon Scherer, and Henry McKelvey Blodget (Respondents) Case Number: 03-07469 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Bruce Mello hereinafter referred to as "Claimant": Karen E. Byrnes, Esq., Sheindlin & S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don E. Thomason and Lynn R. Thomason, Claimants y. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc., Jack B. Grubman and John B. Hoffinan, Respondents i Case Number: 03-07468 ( Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Persons REPRESENIAITQN^F PARIBCS For Claimants: Michael J. Wilner, Esq. Michael S. Ta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07465 Chidi Ahanotu, Individually, and as Trustee of The Chidi Ahanotu Trust Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Camell Moore Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Chidi Ahanotu, Individually, and as Trust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07460 Nancy H. Bryson, IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Anthony L. Amos, Respondents. ATTORNEYS: Claimant, Nancy H. Bryson, IRA, ("Claimant"), appeared pro se, Austell, GA. Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Anthony L. Amos, ("Respondents"), appeared through their in-house counsel, Ann Parry,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine lacona (Claimant) v. First Investors Corp., Nathan & Lewis Securities, Inc., and James Scalia (Respondents) Case Number: 03-07459 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATTON OF PARTIES Claimant Josephine lacona, ("lacona") hereinafter referred to as "Claimant": Louis H. Miron, Esq.,Westfie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07455 Robert W. Eads, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Robert W. Eads, ("Claimant"), appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Penasacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq., of the fi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Frazier, (Claimant) v. Olde Discount Corporation, (Respondents) Case Number: 00-01541 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Thomas Frazier ("Frazier"): pro se. Respondent Olde Discount Corporation ("Olde"), Kathleen Dedenbach, Esq., Olde Discount Corporation: Detroit, Michigan. CASE INFORMATION Statement of Claim filed on or abou

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Reynold and Linda Lovold, Individually and on behalf of the RPL Limited Partnership, the Reynold Lovold IRA S and the Viola P. LaBounty Trust v. 03-07452 Minneapolis, Minnesota Respondents Merrill Lynch, Pierce Fenner & Smith, Lie., and Paul L. Nelson Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Reyno

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Tom Dawkins and Case Number: 03-07451 Hearing Site: Dallas, Texas Smith Barney, Inc., and James Keith Evans NATURE OF CASE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Tom Dawkins ("Claimant") was represented by Michael G. Brown of Figari & Davenport, LLP. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. ("Smith Ba