NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06422 Schechiier Family Trust, Selroa Scheduler, David Schechner, and Arthur Schechner, Trustees, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Schechner Family Trust, Selma Schechner, David Schechner, and Arthur Schechner, Trustees ("Claimant") appeared Joel S. Finkelstein, Esq., of the firm Finkelstein &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rahul Nayar and Chetan Nayar, (Claimants) vs. Montrose Capital Management, Inc., CISC Oppenheimer & Co., Vivek Verma, and John Ferraro, (Respondents) Case Number: 01-00291 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Rahul Nayar ("R. Nayar") and Chetan Nayar ("C. Nayar"), hereinafter collectively referred to as "Claimants": Leon I. Kurland, Esq., a sole

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06403 Brookstreet Securities Corporation (Claimant) v. Daniel Barker (Respondent) ATTORNEYS: For Claimant Brookstreet Securities Corporation ("Claimant") appeared H. Thomas Fehn, Esq., of the firm Fields, Fehn & Sherwin, Los Angeles, CA. Respondent Daniel Barker ("Respondent") appeared pro se, Beverly Hills, C A. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 3, 20

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06393 Bernard Vollkommer, Claimant v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc., Respondent ATTORNEYS: For Claimant Bernard Vollkommer ("Claimant") appeared Benjamin Lapin, Stock Market Recovery Consultants Inc., Brooklyn, NY. For Respondent Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Respondent") appeared Carole A. McDonald, Esq., in-house couns

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan C. Golden, Robert Golden, Susan and Robert Golden as Trustees of the Susan Golden and Robert Golden Living Trusts, Robert Golden as Custodian of the Rachel Golden Custodial Account, and Robert Golden as Custodian of the Lindsey Golden Custodial Account (Claimants) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 04-06390 Hearing Site: New York, New York Nature of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Sumner W. Mead and Nancy P. Mead and 04-06382 Chicago, Illinois Name of Respondents John Hancock Funds, LLC Christopher Sund Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Sumner W. Mead and Nancy P. Mead ("Claimants") were represented by Sumner Mead. John Hancock Funds, LLC ("Respondent JHF") was rep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06374 Richard Warmer Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated John Lacy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Marmer, hereinafter referred to as "Claimant", was not represented in this arbitrati

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06371 Joseph J. Shunnarah Names of the Respondents Hearing Site: Birmingham, AL UBS PaineWebber, Inc. Larry Salem Jeff Gaskin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph J. Shunnarah, hereinafter referred to as "Claimant'*: Richard S. Frankowski, Esq., Whatley Drake L.L.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06370 Claude T. McKee Names of the Respondents Hearing Site: Birmingham, AL Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Claude T. McKee ("McKee") appeared pro se. For Morgan Keegan & Company, Inc. ("MK&C"), hereinafter referred to as "Respondent": Elizabeth R. Floyd, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06360 Mary Ann Steward Names of the Respondents Hearing Site: Orlando, Florida Allen Douglas Securities, Inc. Mark Anthbny Cahill Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Ann Steward, hereinafter referred to as "Claimant": William Young, Esq., Hooper & Weiss, L.L.C.,