AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ali Self and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Dora I. Valverde, and Merrill Lynch & Company, Inc. Case Number: 03-04685 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm, Associated Person and Non Member REPRESENTATION OF PARTIES Ali Seif ("Claimant") was represented by Hector Canales, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William Benton and Dorothy Benton and Respondents Sll Investments, Inc., IFG Network Securities, Inc., and David Gerard Robertson Case Number: 03-04684 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Members and Associated Person REPRESENTATION OF PARTIES William Benton and Dorothy Benton ("Claimants") were represented by Joseph H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James W. Byrd and Virginia S. Byrd, as Trustees of the James W. and Virginia S. Byrd Revocable Living Trust, Claimants v. Anthony L. Jennings and Locust Street Securities, Inc., Respondents Case Number: 03-04671 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David Liebrader, Esq. Law O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Van Der Velde Associates (Claimant) v. Ladenburg Thalmann & Co., Inc., James Nissan, and John Croce (Respondents) Case Number: 03-04666 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Van Der Velde Associates ("Van Der Velde") hereinafter referred to as "Claimant": Thomas B. Decea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jack Giannola DBS PC Employee Pension FD U/A 07/01/76 (Claimant) v. Morgan Stanley DW, Inc. (Respondent) Case Number: 03-04665 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Dr. Jack Giannola DDS PC Employee Pension FD U/A 07/01/76 hereinafter referred to as "Claimant": Howard B. Sirota, Esq., Sirota & Sirota,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: JK Entertainment, Inc. and Joel Krantz, (Claimants) vs. First Liberty Investment Group, Inc. and Andrew Scott Rosenbaum, (Respondents) Case Number: 01-01486 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, JK Entertainment, Inc. ("JKE") and Joel Krantz ("Krantz"), hereinafter collectively referred to as "Claimants": Larry Krantz, Esq., Krantz & Herman LLP, New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irwin E. Cohen, Irwin E. Cohen IRA, Sanford Cohen, and C. B. Consulting Services, Inc. (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-04661 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Irwin E. Cohen ("I. Cohen"), Irwin E. Cohen IRA ("I. Cohen IRA"), Sanford Cohen ("S. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Gualtier (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Richard F. Sofka (Respondents) Case Number: 03-04658 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Gualtier ("Gualtier") hereinafter referred to as "Claimant": James J. Gutbrod, Esq., Akron, OH. P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell Rudolph and Rosemarie Rudolph, JTWRQS, Russell Rudolph IRA, and Rosemarie Rudolph (Claimants) v. Citigroup Global Markets, Inc. f?k/a Salomon Smith Barney, Inc. and Glenn LeBoeuf (Respondents) Case Number: 03-04654 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Russell Rudolph and Ros

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Juan Esteve Uribe and Isabel Gamez Velasquez de Esteve (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Federico Luis Pier (Respondents) Case Number: 03-04653 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Juan Esteve Uribe ("Uribe") and Isabel Gamez Velasquez de