NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02791 Ryan Beck & Co., Inc., (Claimant) vs. Martin Pesin, (Respondent) ATTORNEYS: ~ For Claimant appeared in-house counsel Jeffrey B. Cohen, Esq., Livingston, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 26, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay m

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kenneth Hunter, Dorothy Hunter, and Sally Hunter v. Case Number: 01-00555 Hearing Site: Detroit, Michigan Respondents Sigma Financial Corporation, Mariner Financial Services, Inc., Jerome S. Rydell, Michael J. Brooks, Larry J. Mathewson, J. Will Paul, William Gregg, Dennis Brown, Robert Boone, Clark F. Colton, Jr., and Kenneth Warnick

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02777 James D'Amico, (Claimant) vs. William P. Chien and CyperVest Securities, Inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Acnorth, GA. Respondent William P. Chien did not submit an Answer to the Statement of Claim. Respondent CyperVest Securities, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Terminated Member and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02763 Morgan Stanley DW Inc. Name of the Respondent Hearing Site: Boca Raton, Florida David W.Hausdorff Nature of the Dispute: Member vs. Associated Person, REPRESENTATION OF PARTIES For Morgan Stanley DW Inc., hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane and Fischer, Ltd., Chicago, Illinois. Respondent David W. H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Myer David Snowise and Myra Waynik (Claimants) vs. Citigroup Global Markets, Inc. d/b/a Smith Barney (Respondent) Case Number: 05-02760 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Myer David Snowise ("Snowise") and Myra Waynik ("Waynik"), hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02759 Oppenheimer & Co., Inc., (Claimant) vs. Mark R. Del Valle, (Respondent) ATTORNEYS: ~~~~ For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Merrick, NY, NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 24, 2005 , CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed pu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul S. Holloway CGM IRA Rollover Custodian and Linda K. Holloway SSB IRA Rollover Custodian (Claimants) v. Citigroup Global Markets Inc., Anthony Townsend Williams, Daniel Wayne Doer, and Brendan Willmann (Respondents) Case Number: 05-02728 - Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02726 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Salvadore D. Palermo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum LLP, Orangeburg, New York. Salv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee I. Goldfarb, by: Richard Goldfarb Attorney-in-Fact, and Joan Goldfarb Achtermann Attomey-in-Fact (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 05-02723 : Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES „ - Claimant Lee I. Goldfarb, individually by his Attorneys-in-Fact, Richard Goldf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. (Claimant) v. Ronald Cournoyer (Respondent) Case Number: 05-02720 Hearing Site: Providence, Rhode Island Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James Financial Services, Inc. hereinafter referred to as "Claimant": Leslie A. Reese, Esq., Raymond James Financial Services, Inc., St. Petersburg