K Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Larry C. Grossman Names of Respondents Dunwoody Brokerage Services, Inc. Robert Lee Hopkins Case No. 00-00736 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Larry C. Grossman ("Grossman"), hereinafter referred to as "Claimant": Brenda M. Combs, Esq. of Williams Schifmo Mangione & Steady, P.A., Tampa, Florida. For

NASD DIS£UTJ£ RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04918 Nathan and Jane Feinstein, Claimants vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimants, Nathan and Jane Feinstein, (collectively"Claimants"), appeared pro se, Las Vegas, NV. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. ("Respondent"), appeared through its in-house counsel, Ann Parry, Esq., New York, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04913 Dolores Sancetta, individually and on behalf of various trusts Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dolores Sancetta, individually and on behalf of various trusts, hereinafter referred to as "Claimant": Scott J

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant ,^________ ________ Jake DeGroote v. 03-04905 Minneapolis, Minnesota Respondents A.G. Edwards & Sons, Inc. and Paul Lovegren Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jake DeGroote ("Claimant") was represented by Martin Peterson, Esq., of Klinkenborg, Hansmann & Petersen, Parkersburg, Iowa. A.G. Edwar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04902 Jim Liberty Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc., Charles Lawrence Sheridan and James Clyde Hansberger Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jim Liberty, hereinafter referr

Corrected Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dr. Joseph Taubman Case Number: 03-04901 Names of the Respondents APB Financial Group a/k/a Abernathy Technology Research Institute Steven Abernathy Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Joseph Taubman, hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Vladimir Naroditsky, Respondent Case Number: 03-04896 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brent A. Burns, Esq. Davidson, Manchel & Brennan, TIP Northvale, New Jersey For Respondent: Nancy L. Fineman, Esq. Law Office of Cotchett, Pitre,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sadru Patel and Case Number: 03-04895 Hearing Site: Chicago, Illinois Names of Respondents McDonald Investments, inc. and Larry R. Bishop NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Sadru Patel ("Claimant") was represented by Stephen S. Berkeley, Esq., Shaheen, Novoselsky, Staat & Filipo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Cherie Mondragon v. 03-04894 Denver, Colorado Respondents Stanford Group Company and George Lares Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Cherie Mondragon ("Claimant") was represented by Linda M. Deola, Esq., of Reynolds Motl & Sherwood, PLLP, Helena Montana. Stanford Group Company ("Stanford Group") and Georg

* f f Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant P.asft Number 03-04891 Louis Basso Names of the Respondents Hearing Site: Pittsburgh, PA Parker/Hunter Incorporated Ronald V. Miller Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFNTATTON OF PARTTFS Claimant, Louis Basso, hereinafter referred to as "Claimant", was initially represented by Warren J. Archer, Esq.,