Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07613 Randall Bruce Barlow Name of the Respondent Hearing Site: Boca Raton, Florida SunAmerica Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Randall Bruce Barlow, hereinafter referred to as "Claimant": Carl F. Schoeppl, Esq., Schoeppl & Burke, P.A., Boca Raton, Florida. For SunAmer

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward Moser and 04-074t)3 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. Jack B. Grubman Daniel John Moynihan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward Moser ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois, Citigroup Globa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07161 Gerald C. Stokes Names of the Respondents Hearing Site: Orlando, Florida Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Richard Benoit Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gerald C. Stokes, hereinafter referred to as "Claimant": Bruce G. Kaufmann

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 04-06348 Sterne, Agee & Leach, Inc. Name of the Respondent Hearing Site: Birmingham, Alabama Richard Williams Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Sterne, Agee & Leach, Inc. ("SAL"), hereinafter referred to as "Claimant": Patricia C. Diak, Esq., Haskell, Slaughter, Young & Rediker, LLC, Birmingha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seth D. Blumenfeld (Claimant) vs. Citigroup Markets, Inc., f/k/a Salomon Smith Barney (Respondent) Case Number: 04-06341 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Seth D. Blumenfeld hereinafter referred to as "Claimant": T. Michael Kennedy, Esq., The Law Office of T. Michael Kennedy, P.C., Irving, TX and De

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Alan Lupa, individually and as Trustee of Neil A. Lupa Trust U/A/D 04/23/98, Claimants v. Goodwyn, Long & Black Investment Inc., Charles Schwab & Co. Inc., Robert F. Black, and Dan S. Federman, Respondents Case Number. 04-06140 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Non-Members REPRESENTATION OF PARTIES For Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06092 Donald Allen Name of the Respondent Hearing Site: Charlotte, North Carolina A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Donald Allen, hereinafter referred to as "Claimant", was represented by Julie H. Fosbinder, Esq., and Joshua R. Van Kampen, Esq., Fosbinder Law

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CAS& 01-03108 Joseph Gunnar & Co., claimant vs. Antonio Anastasopoulos, respondent. ATTORNEYS: For Claimant appeared Brian Clendenin, in house counsel, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay loan in breach of employment contract. Claim Data Award Data Claim: $7,500.00 Awa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Peter W. Adolph (Respondent) Case Number: 04-05626 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Peter W. Adolph ("Adolph") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Sharon Wright Names nf the Respondents UBS Financial Services, Inc. J.C. Bradford & Co. n/k/a UBS Financial Services, Inc. Sterling M. Zerbe Case Number; 04-04829 Hearing Site: Pittsburgh, Pennslvania Nature of the Dispute: Customer vs. Members and Associated Person. RFPRF.SF.NTATTON OF PARTTFS Claimant, Sharon Wright, hereinafter referre