NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03070 David E. Stewart, Claimant v. GIT Securities Corporation, Respondent. ATTORNEYS: Claimant, David E. Stewart, ("Claimant"), appeared pro se, New Berlin, WI. Respondent, GIT Securities Corporation, ("Respondent"), did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Terminated Member DATE FILED: April 25, 2003 CASE SUMMARY: Claimant alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03069 Bernard Venable, Claimant vs. T. Kenley Jones, Respondent. ATTORNEYS: Claimant, Bernard Venable, ("Claimant"), appeared pro se, LaFayette, LA. Respondent, T. Kenley Jones, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 25, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed to repay him an amount owed for commissions he received on a mutual

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03068 John T. Nagle, Claimant v. H&R Block Financial Advisors, Inc. and Charles Williams, HI, Respondents. ATTORNEYS: Claimant, John T. Nagle, ("Claimant"), appeared pro se, Ft. Lauderdale, FL. Respondents, H&R Block Financial Advisors, Inc. and Charles Williams, HI, ("Respondents"), appeared through their in-house counsel, Lisa S. Fildes, Esq., Detroit, MI. NATURE OF DISPUTE: Customer v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Magier, IRA (Claimant) vs. Bruce Wesley T. Rinschler, Advest, Inc., and Janney Montgomery Scott (Respondents) vs. Janney Montgomery Scott (Third-Party Respondent). Case Number: 03-03066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Norman Magier, IRA ("Claimant"): Leo W. Des

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Robinson and Janet E. Robinson (Claimants) v. Capital Securities of America, Inc., K. Michael Nunley, and B. Anne Zimmer-Graffice (Respondents) Case Number: 03-03064 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Robert W. Robinson and Janet E. Robinson (the "Robinsons") and Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald E. Newton (Claimant) v. Quick & Reilly, Inc. (Respondent) Case Number: 03-03063 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Ronald E. Newton ("Newton") hereinafter referred to as "Claimant": Susan Hughes Banning, Esq., Hemenway & Barnes, Boston, MA/ Respondent Quick & Reilly, Inc. ("Quick &

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jamileh Darafshian, Trustees FBO Hossein & Jamileh Darafshian Revocable Trust U/A/D 8/9/01, Tahmineh and Tahereh Darafshian, Joint Tenants With Rights of Survivorship, Claimants v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc., Wedbush Morgan Securities Inc., Richard A. Lanni, Charles T. Kuechler, William M. Noonan, Lee A. Tripodi, and Patrick W. Kearney,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John E. Archibold and Mary 0. Archibold Trust, John E. Archibold Trust, Mary E. Ogelsby Archibold Trust, Mary E. Ogelsby Archibold IRA, John E. Archibold IRA and 01-01262 Denver, Colorado Name of Respondents Investment Management Consultants, Ltd. and Richard L Behr REPRESENTATION OF PARTIES John E, Archibold and Mary 0. Archibold Trust, Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rudi Zubere, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent Case Number: 03-03056 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Val D. Hornstein, Esq. Hornstein Law Offices San Francisco, California For Respondent: Johnathan Wehle, Esq. Office of General Counsel Merrill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Adler Family Trust dated 5/25/98, Claimant v. Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.) and Richard H. Selig, Jr., Respondents Case Number: 03-03055 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: George S. Trevor, Esq. Trevor & Weixel LLP Corte