Finra FINRADR In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. v. Christopher J. Veneto Docket: 2004-015412 Attorneys: For aaimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Christopher Veneto - Quincy, MA Date Filed: 5/13/2004 First Scheduled: 06/16/2005 Decided: 1 /3/2007 Case Summary: Claimant, a member firm, alleges breach of contract with respect to the balance due on a p

Finra FINRADR In the Matter of Arbitration Between Case: Richard Byrd v. Merrill, Lynch, Pierce, Fenner 8c Smith, Inc. Docket: 2004-015392 Attorneys: For Claimant(s): Bruce Cain - Kingwood, TX For Respondent(s): Alan M. Wolper - Atlanta, GA Date Filed: 5/10/2004 First Scheduled: 06/04/2005 Decided: 7/6/2005 Case Summary: Customer Claimant alleges breach of fiduciary duty, unsuitability, violations of NYSE and NASD rules, failure to super

Arbitration - case #2004-015362, David and Beverly Wirth v. Merrill Finra "ar FINRADR In the Matter of Arbitration Between Case: David and Beverly Wirth v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket 2004-015362 Attorneys: For Claimant(s): Kevin E. Love - Coral Gables, FL For Respondent(s): Bonnie L. Altro - New York, NY Date Filed: 4/29/2004 First Scheduled: 07/23/2005 Decided: 7/23/2005 Case Summar

Finra FINRADR In the Matter of Arbitration Between Case: William G. Copper and Annabelle G. Copper v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket: 2004-015323 Attorneys: For Claimant(s): Amy Romo - Kingwood, TX For Respondent(s): Corey Cutter - Atlanta, GA Date Filed: 4/27/2004 First Scheduled: 05/11/2005 Decided: 6/9/2005 Case Summary: Customer Claimants allege negligence, misrepresentation, unsuitability, failure to diversify, f

Finra FINRADR In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. v. Robert L. McQuillan v. Citigroup Global Markets, Inc. Docket 2004-015277 Attorneys: For Claimant(s): Gregory R. Crochet - Atlanta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Yasmin Islam Atasi - Houston, TX Date Filed: 4/16/2004 First Scheduled: 10/25/2005 Decided: 5/31/2006 Case Summary: Claimant, a member firm, alleges breach of employmen

Finra FINRADR In the Matter of Arbitration Between Case: David L. Olsen and Patricia Olsen v. Merrill Lynch, Pierce, Fenner & Smith Docket 2004-015235 Attorneys: For Claimant(s): David Mee - Kingwood, TX For Respondent(s): J. L. Jay - El Paso, TX Date Filed: 4/5/2004 First Scheduled: 10/25/2005 Decided: 10/31/2005 Case Summary: Customer Claimants allege breach of fiduciary duty, breach of contract, overconcentration, unsuitability, failure to su

Finra FINRADR In the Matter of Arbitration Between Case: Carl Hendrik v. Edward D. Jones & Co. Docket: 2004-015221 Attorneys: For Claimant(s): Richard A. Lewins - Dallas, TX For Respondent(s): William R. Pace - Dallas, TX Date Filed- 3/31/2004 First Scheduled: 07/19/2005 Decided: 7/29/2005 Case Summary: Customer Claimant alleges fraud, violation of Texas Deceptive Trade Practices Act, Texas state and federal securities laws, violations o

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Track Securities Corporation, (Claimant) vs. Alex Wurzberger, (Respondent) Case Number: 01-05101 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Track Securities Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early LLP, New York, NY. Respondent, Alex Wurzberger, hereinafter referred to as "Respondent", appea

Finra FINRADR In the Matter of Arbitration Between Case: Darrell Kennedy v Merrill Lynch, Pierce, Fenner & Smith Docket: 2004-015186 Attorneys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Joseph L. Hood - El Paso, TX Date Filed: 3/12/2004 First Scheduled: 08/19/2005 Decided: 8/25/2005 Case Summary: Claimant alleges unsuitability, negligence, misrepresentation, breach of contract, breach of fiduciary duty, failure to su

Finra FINRADR In the Matter of Arbitration Between Case: George A. Kontos v. Merrill Lynch & Howard W. Heffley Jr. & Valerie Austin Docket 2004-015157 Attorneys: For Claimant(s): George A. Kontos - Grand Junction, CO For Respondent(s): Tara A. LaClair - Oklahoma City, OK Date Filed: 3/10/2004 First Scheduled: 09/26/2005 Decided: 10/24/2005 Case Summary: Customer Claimant alleges failure to disclose material information and breach of fiduciary du