NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06031 Francine Rinaldo, Claimant v. Eduard Hamamjian, David Vessella, and Essex National Securities, Inc., Respondents. ATTORNEYS: For Claimant, Francine Rinaldo, ("Claimant"), appeared Jay R. Katznelson, Narrangansett, RI. Respondent, Eduard Hamamjian, ("Hamamjian"), appeared pro se, Cranston, RI. Respondent, David Vessella, ("Vessella"), appeared pro se, Cranston, RI. For Respondent, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 03-06030 David Schill, Claimant v. Robert W. Baird & Co., Incorporated, and David L. Simonis, Respondents. ATTORNEYS: "~~~ For Claimant, David Schill, ("Claimant"), appeared Avery B. Goodman, of A.B. Goodman Law Firm, Ltd., Fort Collins, CO. Respondents, Robert W. Baird & Co., Incorporated, and David L. Simonis, ("Respondents"), appeared through their in-house counsel, Deborah J. Fabritz, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher F. Carmel, Christopher F. Carmel ACF Nathalie F. Carmel, and Christopher F. Carmel ACF Henry P. Carmel (Claimants) v. Citigroup Global Markets f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-06027 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ch

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants Case Number: 03-06026 Harry Maxwell John Maxwell Names nf th^ Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Jeanne Eisele Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimants, Harry Maxwell and Joan Maxwell, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andy Lakey and Chantal LaForce, Claimants v. Morgan Stanley DW Inc. and Gary S. Allen, Respondents Case Number: 03-06024 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California For Respondents: Jeanine M. Larrea,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06023 Paul Bartholomew Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul Bartholomew, hereinafter referred to as "Claimant": Robert Blanchard, Esq., Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Norman Bernard Lynn Desantis Bernard Name of the Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. Case Number: 03-06020 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Norman Bernard and Lynn Desantis Bernard, hereinafter collectively referred to as "Claimants": Martin A. F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-01628 Ben R. Spurlock Irrevocable Life Insurance Trust, Ben and Michael Spurlock, Trustees Names of Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Cynthia W. Collins f/k/a Cynthia A. Woodsmall The Robinson-Humphrey Company, LLC The Life Insurance Company of Virginia n/k/a GE Lif

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06017 Cathy Maulden Samuel Cooper John Durham Delores Green Names of the Respondents Hearing Site: Orlando, Florida Salomon Smith Barney Carol Hanlon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cathy Maulden ("Maulden"), Samuel Cooper ("Cooper"), John Durham ("Du

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) ) Name of the Claimant ) Case Number 03-0601 6 Thomas Z. Treece and David Robinson ) Name of the Respondents ) Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. and ) Thomas H. Thornton ) O ISPMTF Customers vs. Member Firm and Associated Person OP Timothy R. Anderson, Esq. of the law firm Clooney & Anderson, located in St. Louis, Missouri represented