Award NASD Dispute Resolution In the Matter of the Arbitration Between: Veree Carindale, Claimant v. PFS Investments, Inc., Respondent Case Number: 04-05500 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Debra Brewer Hayes, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Lisa M. Bertain, Esq. Kim Alexander, Esq. Keesal, Young & Logan San Francisco, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ben Werboff and Jeanette Werboff, Co-Trustees of the Ben and Jeanette Werboff Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-05491 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05483 Diane C. Richards Names of the Respondents Hearing Site: Boca Raton, Florida Allmerica Financial Life Insurance and Annuity Company and James E. Tyrell, II Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Diane C. Richards hereinafter referred to as "Claimant" appeared pro se. For Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05479 Allan Jacobs, Claimant v. Legg Mason Wood Walker, Inc. and Stephen J. Berry, Respondents ATTORNEYS: Claimant, Allan Jacobs, ("Claimant"), appeared pro se, Perth Amboy, NJ. Respondents, Legg Mason Wood Walker, Inc., and Stephen J. Berry, (collectively "Respondents"), appeared through in-house counsel Peter J. Ciliberti, Esq., Baltimore, MD. NATURE OF DISPUTE: Customer v. Member and Asso

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Anita Rockwell v. 04-05463 Minneapolis, Minnesota Respondents Securities America, Inc., SII Investments and Edward Pappas Nature of Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Anita Rockwell ("Claimant") was represented by Aaron R. Hartman, Esq., of Anthony Ostlund & Baer, P.A., Minneapolis, Minnesota. Securities Ameri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gastroenterology Associates, P.C., Pension Plan (Claimant) v. Prime Capital Services, Inc. and Gabriel Kramer (Respndents) Case Number: 04-05454 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Gastroenterology Associates, P.C., Pension Plan hereinafter referred to as "Claimant": William D. Frumki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David M. Goldblatt (Claimant) vs. Seaboard Securities, Inc. (Respondent) Case Number: 04-05453 = Hearing Site: New York, New York. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David M. Goldblatt hereinafter referred to as "Claimant": Benjamin Geizhals, Esq., Davidoff Malito & Hutcher LLP, Garden City, NY. Respondent Seaboard Securities,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05448 Robert S. Pearson, TTEE and Robert S. Pearson, Individually, Claimant v. Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Robert S. Pearson, TTEE and Robert S. Pearson, Individually, ("Claimant"), appeared Richard L. Lantinberg, Esq. of the firm Cooper, Ridge & Lantinberg, Jacksonville, FL. For Respondents, Cit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: gfi Mnrnhpr- 01-00239 Gladys L. Drew and Nancy Amey Sanderson fTp.arjnp Site.- St. Louis, Missouri Fahnestock & Co., Inc. OP PAT?TTy.S Claimant Gladys L. Drew ("Drew") and Nancy Amey Sanderson ("Sanderson") (together referred to as "Claimants") were represented by Donald J. Mehan, Esq., of the firm of Moline, Shostak & Mehan, LLC. Respondent Fahnestock & Co., Inc. ("Fahn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lana C. Geiger (Claimant) v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Douglas Bean (Respondents) Case Number: 04-05446 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Lana C. Geiger ("Geiger"), hereinafter referred to as "Claimant": J. William Batten, Esq., Jabar, Batte