Aus. 4- 2005 12:47PM J. NOLAND FRANZ & ASSOCIATES No.8451 P. I AWARD NASD Dispute Resolution In the Matter of die Arbitration Between Name Of Claimant Maria Lindcmann and 04-06995 Phoenix, Arizona Name of Respondent Citigroup Global Markets, Inc. fit/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Maria Lindemann ("Claimant") was represented by James Richard Hooper, Esq. ? Hooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06992 Zandra Spector Names of the Respondents Hearing Site: Boca Raton, Florida Advest, Inc. Gary Schweifel Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Zandra Spector, hereinafter referred to as "Claimant": Alan Foxman, Esq., Boca Raton, Florida. For Respondent Advest, Inc., ("Ad

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and 04-06951 Phoenix, Arizona Name of Respondent John Y. Huber, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. John Y. Huber, IV ("Respondent") was represented by Mark D. Chester, Esq., Ch

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and 04-06950 Phoenix, Arizona Name of Respondent Joseph Andrews Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. Joseph Andrews ("Respondent") was represented at the hearing by Richard S. Berry

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants William Perry and Virginia Perry v. 04-06948 Minneapolis, Minnesota Respondent New England Securities Corporation Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES William Perry and Virginia Perry ("Claimants") were represented by Amy M. Leonetti, Esq., and Harvey H. Eckart, Esq., of Eckart and Leonetti, St. Paul, Minnesota. New England Se

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06929 Robert L. Albrecht and Janet Albrecht, (Claimants) vs. NatCity Investment, Inc., (Respondent) ATTORNEYS: For Claimants appeared Eugene J. Casey, CPA, Farmington Hills, MI. For Respondent appeared in-house counsel Curtis M. Jacobs, Esq., Louisville, KY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 1, 2004 CASE SUMMARY: Claimants alleged that Respondent breached the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Terry G. Trilling and Kathe Trilling (Claimants) v. James Yglesias Jr., James E. Nielsen, and Prudential Securities, Incorporated n/k/a Prudential Equity Group, IXC (Respondents) Case Number: 04-06916 Hearing Site: New York City, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Terry G. Trilling ("T. Tri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roberta Kaufman (Claimant) v. HSBC Brokerage (USA) Inc. (Respondent) Case Number: 04-06915 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Roberta Kaufman hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA) Inc. hereinafter referred to as "Respondent": Scott D. Miller, Esq., HSBC B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: TD Waterhouse Investor Services, Inc. (Claimant) v. Andrea Bronner (Respondent) Case Number: 04-06912 Hearing Site: Albany, New York ^^^^^^^•^^MI^V^BP^^V^H^^BHa^^H^^BflM^^BMMMa*^B^^^^^B^^H^^^^^^^^^H^MBM^M^BmaB*^^B^H^ABW^B^^BI^H^M^^M^^^^^^^^^^^^^^^^^^K.^H Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant TD Waterhouse Investor Services, Inc. here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lorna Schmidt, Trustee of the Marr 1998 Trust, Claimant v. Carol M. Fantazia and American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Respondents Case Number: 04-06905 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael J. Macko, Esq. Gianelli & Fores