Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant i, Jeanne L. Wyrosdick, TTEE Jeanne L. Wyrosdick Rev/Trust Name of the Respondent Edward D. Jones & Co. Case Number: 04-07080 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATTON OF PARTTF.S Claimant, Jeanne L. Wyrosdick, TTEE, Jeanne L Wyrosdick Rev/Trust, hereinafter referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheldon Blumberg, Lucille Blumberg, Penny Blumberg, Lauren Ann Roberts and Kelly Ann Roberts (Claimants) v. Ronald Sarao, ST., Kirsten Monika Cody and Neal Albert Bohlman (Respondents) Case Number: 04-05546 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Sheldon Blumberg ("S. Blumberg"), Luci

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-04362 Case Number: 04-04285 Leonard Polonsky, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Bernard F. Wozniak, John R. Shoemaker, and Paul S. Tanzman, Respondents Case Number: 04-04362 Leonard Polonsky, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. f/k/a Salomon Smith Barney

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norbert Baumann (Claimant) vs. Lehman Brothers Inc. (Respondent) Case Number:04-04636 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Norbert Baumann ("Baumann") hereinafter referred to as "Claimant": Joseph J. Dehner, Esq., Frost Brown Todd LLC, Cincinnati, OH. Respondent Lehman Brothers, Inc. ("Lehman") hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. formerly Dean Witter Reynolds, Inc. (Claimant) v. Steven B. Nothmann (Respondent) Case Number: 04-04451 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley DW Inc. hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marjorie Sartori and Peter Sartori (Claimants) v. Putnam Retail Management, True North Financial Services, Inc. and Henry Joseph Pierpan (Respondents) Case Number: 04-04231 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Marjorie Sartori ("M. Sartori") and Peter Sartori ("P. Sartori"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03020 Helen P. Foster, claimant vs. Raymond James & Associates, Inc. and Robert S. Kurvin, respondents. ATTORNEYS: For Claimant Helen P. Foster ("Claimant"), Charles W. Austin, Jr., Esq., sole practitioner, Richmond, Virginia. For Respondents Raymond James & Associates ("Raymond James") and Robert S. Kurvin ("Kurvin"), James D. Sallah, Esq., Senior Vice Pr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03432 Susan M. Diamond, Claimant v. Isaac Vidomlanski, Zvi Amit and Menachem Cohen, Respondents. ATTORNEYS: Claimant, Susan M. Diamond, ("Claimant"), appeared pro se, Westbury, NY. Respondent, Isaac Vidomlanski, appeared pro se, Far Rockaway, NY. Respondent, Zvi Amit, did not file a Statement of Answer in this matter. For Respondent, Menachem Cohen, appeared Hal R. Ginsburg, Esq., of the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: .' Name nf thft Claimant r.asft Niirnhftr 04-03131 Dorothea D. Davis, as guardian for Adeline F. Davis Names of the Respondents Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Geoffrey A. Thomas Nature of the Dispute: Customer v. Member and Associated Person. PF.PPF.SF.NTATTON OF PAPTTF.S Claimant, Dorothea D. Davis, as guardian for

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil and Victoria Megson, Claimants v. Kelly Gunderson and Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc., Respondents Case Number: 04-02795 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Neil and Victoria Megson: Bernard W. McNallen, Esq. Balsam McNallen LLP Tacoma, Wa