Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn E. and Patricia N. Angle; Harrison and Mary Jane Burton; Harrison and Mary Jane Burton, Trustees of the Harrison and Mary Jane Burton Family Trust; Mary Jane Burton Custodian FBO Jake Schiffe, a minor under the California UGMA; Mary Jane Burton Custodian FBO Michael C. Burton, a minor under the California UGMA; Lee H. Butler; Armand R. and Helene G. Calande; Lois E. Caldwell Benef

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-OQ290 GKN Securities Corp., Inc., claimant vs. Dennis Bodenstein, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Vice President, New York, NY. For Respondent appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on a promissory note due upon his termination of employ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gloria Gari and Glen R. Gary (Claimants) v. Steven Brian Rock and Citicorp Investment Services, Inc. Case Number: 04-06347 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person «-* REPRESENTATION OF PARTIES Claimants Gloria Gari and Glen R. Gary hereinafter collectively referred to as "Claimants": Frederick H. Mandel, Esq., Mandel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Leo (Claimant) vs. MFS Fund Distributors, Inc. (Respondent) Case Number: 04-06344 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert A. Leo hereinafter referred to as "Claimant": Laura S. Schnell, Esq., Eisenberg & Schnell LLP, New York, NY. Respondent MFS Fund Distributors, hie. hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Raice (Claimant) v. Fidelity Brokerage Services, LLC (Respondent) Case Number: 04-06342 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Edward Raice hereinafter referred to as "Claimant": Marc O. Sheridan, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent Fidelity Brokerage Services, LLC hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret A. McGlaun successor Trustee of The McGlaun Family Trust, Claimant v. UBS Financial Services Inc., Geraldine Elaine Beaudin, and James Paul Vansteenhuyse, Respondents Case Numbcr:04-06339 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents UBS Financial Servic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter C. Neumann, Peter C. Neumann as Trustee for the Peter Chase Neumann Professional Corporation, Peter C. Neumann as Trustee for the Peter Chase Neumann Professional Corporation Profit Sharing Plan, and Renate M. Neumann, Claimants v. UBS Securities LLC (f/k/a UBS Warburg LLC) and UBS Financial Services Inc., Respondents Case Number: 04-06338 Hearing Site: Reno, Nevada Nature of

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Citigroup Global Markets, Inc. vs. David Bradley Brooks Case Number: 04-06334 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant", was represented by William O. L. Hutchinson, Esq., Kennedy Covington Lobdell & Hickman, LLP, Charlotte, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration BetWeeh Names of Claimants Johnny J. Torrez and Sylvia A. Torrez and Names of Respondent Brookstreet Securities Corporation Case Number: 04-06327 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Johnny J. Torrez and Sylvia A. Torrez ("Claimants") were represented by Steven D. Urban, Esq. and David E. Dunham, Esq., Taylo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06320 Malcolm B. Friedman IRA, Claimant v. Fidelity Investments, Fidelity Management Trust Co., and Fidelity Brokerage Services, Respondents ATTORNEYS: ~ Claimant appeared pro se, Hamden, CT. For Respondents Fidelity Investments, Fidelity Management Trust Co., and Fidelity Brokerage Services (collectively "Respondents") appeared Melissa Hegger Shea, Esq., in-house counsel, Fidelity Broke