Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. KENT BAKER and CNC SALES, INC., Case Number: 05-00204 Claimants, v. Hearing Site: Indianapolis, Indiana GOELZER INVESTMENT MANAGEMENT, INC., Respondent. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, R. Kent Baker ("Baker") and CNC Sales, Inc. ("CNC"), hereinafter collectively referred to as "Claimants": Patrick C Badell, Esq. of

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alfred A. Tavoletti and 05-00044 Chicago, Illinois Name of Respondents Amerivet Securities, Inc. Martin Cabrera, Jr. Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Alfred A. Tavoletti ("Claimant") was represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, Chicago, Illinois. Amerive

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary M. Massimo (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Kevin McGrath and Mark R. Phillips (Respondents) Case Number: 04-07327 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Mary M. Massimo hereinafter referred to as "Claimant": Cynthia Boyer Okrent, Esq., Cul

Stipulated Award NASD Dispute Resolution !n the Matter of the Arbitration Between: Lanek Limited, Kevin McCurdy, Howard Field and Jascan Investments, Inc., Claimants v. Morgan Stanley DW Inc., Antony Gordon and Margaret Black, Respondents Case Number: 04-00435 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning Richard Sacks Law Offi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jerrold and Lydia Cohan, Howard Cohan, , Helene and Scott Wineberg, Mamie Wineberg and Hayley Wineberg and 03-07106 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Menard Sanford Schwartz and Steven S. LaPorta Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Rubin and Judy Rubin Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. Case Number: 01-02264 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES David Rubin and Judy Rubin, hereinafter referred to as "Claimant": Alan Foxman, Esq., The Law Offices of Alan J. Foxman, P.A., Boca Raton, Florida. Merrill Lynch, Pierce Fenner & Sm

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Connie J. Schafer and 03-06074 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and Wallace E. Almquist, Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Connie J. Schafer ("Claimant") \vas represented by Rachel M. Raymon, Esq., Levin, Papantonio, Thomas, Mitc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant SamiraBader and 03-05180 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith, ShadiS.Dabit, Shadin T. Ramadan, and Debra Lambrecht Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Samira Bader ("Claimant") was represented by Andrew S. May, Esq., Lewitas & Associates, P

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Behrens and 03-03492 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kerry Robin Truckly Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES William Behrens ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois and Adrew Stoltmann, Es

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 05-05072 Prudential Equity Group, LLC and Mary Ellen Kay, (Claimants) vs. Loretta D. Abrams, Loretta D. Abrams IRA Rollover and L. Abrams beneficiary of Mr. Hyman Abrams IRA Rollover, (Respondents) ATTORNEYS: For Claimant Prudential Equity Group, LLC appeared Christopher G. Massey, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Claimant Mary Ellen Kay appeare