Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant FBO Michael E. Miller, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04800 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For FBO Michael E. Miller, IRA, hereinafter referred to as "Cla

* fc Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) v. Prebon Financial Products, Inc. and CreditTrade Securities Corporation (Respondents) Case Number: 03-04797 Hearing Site: New York, New York Nature of the Dispute: Member v. Members. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert M. Neal and Joseph Pellitteri (Claimants) v. Dresdner Kleinwort Wasserstein, Inc. (Respondent) Case Number: 03-04796 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Robert M. Neal ("Neal") and Joseph Pellitteri ("Pellitteri") hereinafter collectively referred to as "Claimants": David B. Wechsler, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia A. Fogaras (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael E. Zweig (Respondents) Case Number: 01-01498 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Virginia A. Fogaras ("Fogaras") hereinafter referred to as "Claimant": James B. Davis, Esq., Newbury, OH. Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Espinosa, Claimant v. T.D. Waterhouse Investor Services, Respondent: Case Number: 03-04785 Hearing Site: Los Angeles, California For Claimant: For Respondent: Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Richard Gibson, Esq. Law Offices of Richard Los Angeles, California i- Ctibson, APC John L. Erikson, Jr., Esjf Jones, Bel

Award NASD Dispute Resolution GST In the Matter of the Arbitration Between: Joseph S. Scher, as an individual, and as Trustee and Representative for, and Joseph S. Scher Trust; Trust U/W of Eleanor Scher CL A; Marilyn Haberma^iScher Mark S. Scher GST Trust; Julie Lynn Nebel GST Trust; James A. Scher Habermas-Scher Present Interest Trust; Mark S. Scher Present Interest Trust Present Interest Trust; James A. Scher Present Interest Trust; Anika Haberinas

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: John C Zeliing and Shelley M. Zelling, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-04781 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Samuel B. Edwards, Esq. Shepherd, Smith & Edwards, L.L.P. Houston, Texas For Respondent: Bruce W. Day, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph and Wilma Mosa, Claimants v. Gregg Ogiela and RBC Dain Rauscher Inc., Respondents Case Number: 03-04779 Hearing Site: Las Vegas Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Ralph and Wilma Mosa ProSe Cory Mosa, pursuant to Power of Attorney Las Vegas, Nevada For Respondents: Amelia D

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Hugh and Sandra Gallagher and Name of Resondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Colin Hoehn 03-04778 Chicago, Illinois Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Hugh and Sandra Gallagher ("Claimants") were represented by Andrew J. Stoltmann, Esq., Stoltmann Law Offic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04768 Robert L. Mott, IRA Robert L. Mott and Dorothy K. Mott, Tenants by the Entirety Anita Lee Davis, Individually Anita Lee Davis, IRA Anita Lee Davis ACF Dorothy E. Davis Anita Lee Davis ACF Leeanne E. Davis Anita Lee Davis ACF Robert Boush Davis Boush Davis, IRA Elaine M. Sullivan, Individually Elaine M. Sullivan, IRA