NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09200 Sandra Stewart Bernstein TTEE FBO Sandra Stewart Bernstein, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Sandra Stewart Bernstein TTEE FBO Sandra Steward Bernstein, ("Claimant"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Ci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09196 Emma Lou Burtrum, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Emma Lou Burtrum, ("Claimant"), appeared Rohit Sharma, Esq., of David Garret Law Office, P.C., Muskogee, OK. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), app

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Serge Kaftal, individually and as custodian for Kristopher Kaftal, and Halina Kaftal v, Merrill Lynch, Pierce, F nner & Smith Inc., Alicia S. Greenbaum, and Mark Justin Case Number: NASD Arb. No. 03-09194 Hearing Site: Newark, New Jersey Nature of Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Serge Kaftal, individually and as cus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alex A. and Minica Casbara, Individuals and as Co-Trustees of Alex A. Casbara and Minica Casbara Family Trust, Claimants v. Diversified Securities, Inc. and Kevin J. Conway, Respondents Case Number: 03-09188 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Rod M. Bidgoli, Esq. Irvine L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Edward Lehman Name nf the Respondents Citigroup Global Markets Inc. Barry S. Green r.aseNiimher 03-09186 Hearing Site- New York, New York Nature of the Dispute: Customer vs. Member and Associated Person; KFPRF.SF.NTATTON OF PARTTFS Claimant, Edward Lehman, hereinafter referred to as "Claimant," was represented by James E. Miller, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09185 David E. Ball, IRA Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David E. Ball, IRA, hereinafter referred to as "Claimant": Jeffrey P. Coleman, Esq., Coleman Law Firm, Clearwater, Florida. For Raymond James Fina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 01-01717 BenTreff Names nf the Respondent Hearing Site- Philadelphia, PA National Clearing Corp. F/k/a J.B. Oxford & Company Christopher J. Urner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Ben Treff, hereinafter referred to as "Claimant", was represented at the hearing by Mic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09182 Jimmy Dan Kilgore Name of the Respondent Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Citigroup Global Markets, Inc., d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jimmy Dan Kilgore, hereinafter referred to as "Claimant": R

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mildred Soret Name of the Respondent Merrill Lynch, Pierce, Fermer & Smith, Inc. Case Number: 03-09181 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mildred Soret ("Soret"), hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman, Link & Sartory, P.A., West Palm Beac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Nfame of the f!1aimant LeLand LaFevre "Marries of the Respondents Ehrenkrantz King Nussbaum, Inc. Irwin Nussbaum Joan Mary King Michael Evan Sackstein Christopher John Rocco Santanelli Anthony Koulouris rase Number 03-09180 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Persons. RF.PRFSFNTATIO1V OF PARTTFS