AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant James L. Gordon v. 05-00512 Louisville, Kentucky Respondents A.G, Edwards & Sons, Inc., and Byron Holley NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES James L. Gordon ("Claimant") was represented by Edward J. Dovin, Esq., of Dovin Malkin & Ficken, LLC, Atlanta, Georgia. A.G. Edwards & Sons, Inc. ("AGE") and Byron

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter Respondent * Citigroup Global Markets, Inc. Case Number: 05-00508 and Hearing Site: Houston, Texas Name of Respondent / Counter Claimant / Third Party Claimant Pamela B. Reznick and Name of Third Party Respondent Raymond J. Miller Consolidated with: Name of Claimant / Counter Respondent i Citigroup Global Markets, Inc. Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 05-00496 Gregory Walling Name of the Respondent Hearing Site! Washington, D.C. Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Gregory Walling, hereinafter referred to as "Claimant", represented himself at the hearing in this matter. Respondent, Charles Schwab & Co., hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00489 Warren W. Lovell, III, individually and on behalf of T. Lovell Alpha Limited Partnership, T. Lovell Alpha Limited Partnership Investments Trust and the Warren W. Lovell IRA Account Name of the Respondent Hearing Site: Boca Raton, Florida Harry Strunk Nature of the Dispute: Customer vs. Associated Person. REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ehrenkrantz King Nussbaum, Inc., (Claimant) v. Jason Konior (Respondent) Case Number: 05-00484 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Ehrenkrantz King Nussbaum, Inc., ("Claimant"): Robert M. Bursky, Esq., Law Office of Robert Bursky, Garden City, NY. Respondent Jason Konior ("Respondent"): Lawr

I' Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: IMS Securities, Inc. (Claimant) v. Stephanie Hrycyk, d/b/a Hrycyk Financial Services (Respondent). Case Number: 01-00459 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, IMS Securities, Inc. ("IMS") was represented by Gregory J. Casas of Locke Liddell & Sapp LLP, Houston, Texas. Respondent, Stephanie A. Hrycyk ("Ms. Hrycyk") was represented by Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citadel Derivatives Group, LLC (Claimant) vs. AGS Specialist Partners (Respondent) Case Number: 05-00478 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member REPRESENTATION OF PARTIES Claimant Citadel Derivatives Group, LLC hereinafter referred to as ("Claimant"): F. Joseph Warm, Esq., and Andrew S. Tulumello, Esq., Gibson, Dunn & Crutcher, LLP Washington, D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Jeffrey DuBowy Martin Rebhun Names nf the Respondents Three Rivers Trading, LLC Glenn S. Lorantas Case T- 05-00473 Hearing SitR: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons vs. Non-Member with a Contract to Arbitrate and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Jeffrey DuBowy ("DuBowy") and Martin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00458 Dominic and Alfonsina Milano i Names of the Respondents Hearing Site: Tampa, Florida Earl Morton Slosberg FFP! Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dominic and Alfonsina Milano, hereinafter collectively referred to as "Claimants": Richard R. Logsdo

NASD DISPUTE RESOLUTION AWAJRD NASD DISPUTE RESOLUTION CASE: 05-00454 Maxium Group LLC, (Claimant) vs. Ernest J. Silano, (Respondent) A T T G R K E Y S : ~ ~ ~ For Claimant appeared in-house counsel, James B. SiegeL Esq., New York, NY, For Respondent appeared Michael Utilla, Esq., of the firm The Law Office of Utilla and Associates, Brooklyn, NY. NATURE OF DISPUTE; Member v. Associated Person """""'~" ~