Award NASD Dispute Resolution In the Matter of the Arbitration Between: _e of th? ^Iflirpf^it Pflgp >Jiim1->pr- 01-01445 Stevo Matic : nf fhp! p^Rprmrlftntc; Hiring S 1 ^' Milwaukee, Wisconsin Gregg M. Becker; Robert Symonds, Jr.; Antonio Costanzo; Andre V. LaBarbera; Joseph S. Sapienza; John Stracquadanio; Diane Healey; Renee Scuderi; and Tasin & Company, Inc. pF.ppir.STr.NT A^ ° Claimant Stevo Matic, hereinafter referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and Mary Arnold, Claimants, Case Number- 03-04221 Hearing Site: Indianapolis, Indiana v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Ronald A. Hollinger, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph and Mary Arnold ("Arnold"), hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard M. Burton Teresa O. Burton James A. Burton Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Ronald J. Hebert Case Number: 03-04220 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Richard M. Burton ("RMB"), Teresa O.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garrett Superannuation Fund, Tymstand Pty Ltd., Individually and as Trustee of the Garrett Family Trust, Jammjack Pty Ltd., Individually and as Trustee of the Garrett Superannuation Fund, Rodney Joseph Garrett a/k/a Tom Garrett, Lanstone Nominees Pty Ltd., Individually and as Trustee of the Barry Fry Superannuation Fund and The Barry Fry Superannuation Fund (Claimants) v. Morgan Wilshir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC ) Case Number: 03-04209 Name of the Respondent John T. Duff Name of theThird-Party Respondents Charles M. Ovis and Guy Patrick Riordan ) Hearing Site: Albuquerque, New Mexico KTIIPF Member Firm vs. Associated Persons Gilbert M. Roman, Esq. of the law firm Rotherberger Johnson & Lyons, LLP, located in Denver, Color

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Kewn (Claimant) v. Advest, Inc. and Frank Albano (Respondents) Case Number: 03-04203 Hearing Site: New York, New York. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Kewn ("Claimant") appeared pro se. Previously represented by Brian M. Limmer, Esq., Bellmore, NY. Respondent Advest, Inc ("Advest"): Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Kewn (Claimant) v. Advest, Inc. and Frank Albano (Respondents) Case Number: 03-04203 Hearing Site: New York, New York. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Kewn ("Kewn") referred to as ("Claimant"): Appeared pro se; previously represented by Brian M. Limmer, Esq., Bellmore, NY. Respondent Advest, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher, Inc. (Claimant) v. Robert B. Crowe (Respondent) Case Number: 03-04202 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher, Inc. ("RBC") hereinafter collectively referred to as "Claimant": Nicole M. Siemens, Esq., Lindquist & Vennum, P.L.L.P., Minneapolis, MR Respondent Robert B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas and Anne Mastandrea; Nicholas Mastandrea, IRA; and Anne Mastandrea, IRA (Claimants) v. David Lerner Associates, Inc. (Respondent) Case Number: 03-04200 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Nicholas and Anne Mastandrea; Nicholas Mastandrea IRA; and Anne Mastandrea IRA hereinafter collectively ref

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Helen and Elizabeth Gurklies and 03-04198 Kansas City, Missouri Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Daniel Raymond Agee Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Helen and Elizabeth Gurklies ("Claimants") were represented by Diane A. Nygaard