NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07521 George H. Dornblazer MD, PA FBO George H. Dornblazer PSP, Claimani v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, George H. Dorablazer MD, PA FBO'George H. Dornblazer PSP, ("Claimant"), appeared Win. Jamison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsncr & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pier

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lana DeGeorge and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael A. Bertuzzi Case Number: 03-06869 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Lana DeGeorge ("Claimant") was represented by Hector G. Longoria, Esq., Heard, Rob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis A. D'Auria Charitable Remainder Trust, Michael D'Auria, Dawn D'Auria Charitable Remainder Trust (Claimants) vs. Commonwealth Financial Network, Heritage Advisors Inc., and Stephen F. White (Respondents) Case Number: 03-06812 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Louis A. D'A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06699 Leonard Tatore & Jean C. Tatore JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Leonard Tatore & Jean C. Tatore JTWROS, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06695 John S. Trecartin & Joan Trecartin JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, John S. Trecartin & Joan Trecartin JTWROS, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jean G. Lamed and Case Number: 03-06633 Names of the Respondents Hearing Site: Houston, Texas UBS Financial Services Inc., Michael E. McClenny, Ahmad Fakar, and Roger B. Riley NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Jean G. Lamed ("Claimant") was represented by Sandy Garfinkel,

Award NASO Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06620 Randy Marcin Names of the Respondents Hearing Site: Boca Raton, Florida Tower Square Securities, Inc. Larry Carr Laura A. Pantaleo Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Randy Marcin ("Marcin"), hereinafter referred to as "Claimant": Daniel S. Newman, Esq., Br

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Byron B.W. Kim & Himana Kim, Claimants v. Ameritrade, Inc. and Thomas K. Lewis, Jr., Respondents Ameritrade, Inc., Counter-Claimant v. Byron B.W. Kim & Himana Kim, Counter-Respondents Case Number: 01-03096 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants Byron B.W. Kim & Himana Kim: Byron B.W. Kim & Himana Kim In Pro Per Honolulu, Hawaii F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06378 Jeffrey Buffoni Rebecca Forbes Names of the Respondents Hearing Site: Boca Raton, Florida Herbert J. Sims & Co., Inc. Alan Z. Appelbaum William B. Sims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Buffoni ("Buffoni") and Rebecca Forbes ("Forbes"), hereinafter colle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06333 Louis Basile, Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., Respondent. ATTORNEYS: For Claimant, Louis Basile, ("Claimant"), appeared Adam S. Doner, Esq., Palm Beach Gardens, FL. Respondent, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., ("Respondent"), appeared through its in-house counsel, Edmund Shea, Esq., New York, NY. NATURE OF DISPUTE: Cust