Award NASD Dispute Resolution in the Matter of the Arbitration Between: Joseph R. Valeriano and Kathleen Valeriano (Claimants) vs, Citigroup Global Markets, Inc. and David Scharf (Respondents) Case Number: 05-03302 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph R. Valeriano ("J. Valeriano) and Kathleen Valeriano ("K. Valeriano") hereinafter collectively refe

Stipulated Award NASD Dispute Resolution !n the Matter of the Arbitration Between: Anthony Fioretti and Karen Fioretti (Claimants) vs. J.B. Hanauer & Co., Barry Hugh Zucker, Jeff Wolfe, and Anthony D'Amato (Respondents) Case Number: 01-06940 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Anthony Fioretti ("A. Fioretti") and Karen Fioretti ("K. Fioretti") hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-02333 Daniel Leon Bruton and Viola Bruton JTWROS, claimants vs. Sage Rutty and Company, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Daniel Leon Bruton, Coal Township, PA. For Respondent appeared Renee Rombaut, Rochester, NY. DATE FILED: May 4, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented and omitted information regarding their account. Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01803 Elizabeth Ramirez Cartwright Names of the Respondents Hearing Location: Memphis, Tennessee Morgan Keegan & Company, Inc. Neil Prosser Maryanne Post Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Elizabeth Ramirez Cartwright, hereinafter referred to as "Claimant", wa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joan Bouden Kostmayer LaFaver Names of Respondents Legg Mason Wood Walker, Inc. Don Celestin Jim Walther Case Number: 03-07698 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joan Bouden Kostmayer LaFaver, hereinafter referred to as "Claimant," appeared pr

Award By Consent NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Claimant v. Thomas Burgess Hamlin, Respondent Thomas Burgess Hamlin, Counter-Claimant v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Counter-Respondent Case Number: 97-04690 Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person Associat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00174 Rickey A. Haman, (Claimant) vs. David Robert Golson, Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith. Inc., (Respondents) ATTORNEYS: ~ For Claimant appeared Susan B. Norris, Esq. of the firm The Law Offices of Susan Berman Norn's, Wetumpka, AL. For Respondents David Robert Golson and Morgan Stanley DW Inc. appeared in-house counsel Andrew Upton, Esq., Purchase, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02332 Seymour Waterman, Claimant vs. Whale Securities Inc. and John Ehrlich, Respondents. ATTORNEYS: Claimant, Seymour Waterman, appeared pro se, Encino, CA. For Respondents, Whale Securities, Inc. n/k/a Bluestone Capital Corp. and John Ehrlich, appeared David S. Richan, Esq. of the firm, Blank Rome Tenzer Greenblatt LLP, New York, NY. DATE FILED: May 4, 2001 CASE SUMMARY: Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul J, Sullivan, Trustee of the P&K Sullivan Nominee Trust, Billy Duncan, Lawrence Gilbert as Successor Trustee to Robert Gilbert, George E. Okashima, David and Anne Eaton, Thomas Hoyt, Carl and Barbara Streng, John Pickel, Charles Hostenske, Douglas Anders, Richard L. Uriarte, Kamran Manuel, William and Marilyn Fisher, Phillip and Marilyn Shapiro, Duane Stewart, Douglas Foy, Randy All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bemhard Heine, Individually and on Behalf of the Bernhard Heine IRA, and Silke Heine (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas A. Hand (Respondents) Case Number: 05-02694 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Bernhard Heine, Individually and on Behalf