AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mario Monfardini and 04-04824 Phoenix, Arizona Name of Respondents Prudential Equity Group, LLC Warren Ronald Thompson Kathy Ann Stiber Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Mario Monfardini ("Claimant") was represented by Stuart C. Goldberg, Esq., Scottsdale, Arizona and Seth E. Lipner, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. v. 04-04819 Denver, Colorado Respondent Walter Weyrauch Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. ("Claimant") was represented by Jessica E. Price, Esq., of Brouse McDowell, Cleveland, Ohio. W

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. vs. Michael Masur Padawer Case Number: 04-04817 SITUS: St. Louis, Missouri NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Jessica E. Price, Esq. of Brouse McDowell, located in Cleveland, Ohio. Respondent, Michael Masur Padawer, did not enter an appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04808 Pauline Rainone Gianni Matragrano (Minor) Names of the Respondents Hearing Site: Orlando, Florida Legg Mason Wood Walker, Incorporated Fred Kelleher Ladd Aliff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Pauline Rainone ("PR") and Gianni Matragrano ("GM"), hereinafter collect

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i i f>gft Niimhftf • 01-00200 First Union Securities, Inc. r?f t^p F£spQnd p Ttf.^ RpaT-jpg Site- Philadelphia, PA John M. Mulvihill R. John Giannone ° Claimant, First Union Securities, Inc. ("First Union"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, John M. Mulvihili ("Mulvihill"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Greg G. Grimes (Claimant) v. Morgan Stanley DW, Inc. and Barbara R. Kaplan (Respondents) Case Number: 04-04804 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Greg G. Grimes hereinafter referred to as "Claimant": Stephen H. Weiner, Esq., Law Office of Stephen H. Weiner, New York, NY. Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04797 Katharine B. Thibideau, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Edward Burkhart, Respondents ATTORNEYS: For Claimant {Catherine B. Thibideau ("Claimant") appeared David N. Cole, Esq., Hanover, NH. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Edward Burkhart (collectively "Respondents") appeared Emillia M. DeMeo, Esq., in-house counsel,

05/09/200G 08:44 FAX NASD ©002/013 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Vinay and Nehaben Patel, Claimants Case Number: 04-04793 v. Hearing Site: Indianapolis, Indiana Max International Broker-Dealer Corporation, Sandeep Bardia, Eton Chan, Nigel Allister Gilbert and David Scott Isolano, Respondents. Customer vs. Member Firm and Associated Persons RE&RESENTATION OF PARJIES Vinay and Nehaben Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gerald W. Spranger Name of the Respondents SII Investments, Inc., and Mick J. McDermott Case Number: 04-04791 Hearing Site: Milwaukee, Wisconsin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Gerald W. Spranger, ("Spranger"), or, ("Claimant"), was represented by Gregory Pitts, Esq., of Sc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis F. Hook, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-04790 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: John F. Kunath, Jr., Esq. Attorney at Law Irvine, California For Respondent: Jeffrey W. Coverdell, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE IN