Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul J. Kelly (Claimant) v. Ameritrade, Inc. (Respondent) Case Number: 04-07266 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Paul J. Kelly hereinafter referred to as "Claimant": Timothy E. Zerillo, Esq., Zerillo Law Offices, LLC, Portland, ME. Previously appeared pro se. Respondent Ameritrade, Inc. n/k/a J.P. S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Capital Growth Financial, LLC f/k/a/ CGF Securities, LLC Name of the Respondent Scott Weissman Case Number: 04-07261 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC, hereinafter referred to as "Claimant": Delmar C. Gowing, HI, Esq., Delma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine M. Porro, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Stanley E. Edwards, Respondents Case Number: 04-07259 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bruce R. Heurlin, Esq. Karp, Heurlin & Weiss, P.C. Tucson, Arizona For Respondents: Kenneth C. Me

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07256 Elaine Ozarow David Ozarow Names of the Respondents Bearing Site: Boca Raton, Florida Dreyfus Service Corporation Walter Blankenhorn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elaine Ozarow ("E. Ozarow") and David Ozarow ("D. Ozarow"), hereinafter collectively

Award NASD Dispute Resolution r In the Matter of the Arbitration Between: Linda A. McBain and Robert H. Kozlowski, Individually and as Trustees of the Robert Kozlowski and Linda McBain Living Trust, Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 04-07255 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: Brett A. Alcala Alcala Law Firm San Mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: CRT Capital Group LLC ("Claimant") vs. OTA LLC (f/k/a OTA Limited Partnership) and Crown Financial Group, Inc. (f/k/a MH Meyerson & Co., Inc.) ("Respondents") Case Number: 04-07250 Hearing Site: New York, New York. Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES CRT Capital Group LLC hereinafter referred to as "Claimant": Jay G. Strum, Esq., Kaye Scholer LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernest E. Pugh, Robert T. Jackson, John Paul Hanson, Joseph E. Cerri and Karen A. Gerri (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-07249 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Ernest E. Pugh ("E. Pugh"), Robert T. Jackson ("R. Jackson"), John Paul Hanson ("J. Hans

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine Oliveri and The Estate of Frank Oliveri (Claimants) v. First Colonial Securities Group, Inc., Anthony Guglieri, Chee Eng, and Michael Golden (Respondents) Case Number: 01-00320 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Josephine Oliveri ("J. Oliveri") and The Estate of Frank Oliv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pat Desmond, Jr. and Ann Desmond, Claimants v. Citigroup Global Markets Inc. tfk/a Salomon Smith Barney Inc. and Paul A. Pollard, Respondents Case Number: 04-07242 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John L. Monteleone, CPA Redondo Beach, California For Respondents: Ha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brian B. Devane and 04-07239 Chicago, Illinois Name of Respondents Bane of America Investment Services, Inc. Bank of America N.A. Bank of America Corporation Nature of the Dispute: Associated Person vs. Member, Non-Member. REPRESENTATION OF PARTIES Brian B. Devane ("Claimant") was represented by Peter Ordower, Esq., Chicago, Illinois. Bane of