AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Richard E. Stevens and Betty J. Stevens, Individually and on behalf of The Richard and Betty Stevens Living Trust v. 04-04787 Denver, Colorado Respondents John Vincent Genna, Jr., Nicholas Varano and James Michael Palladino and Counter-Claimant Nicholas Varano v. Counter-Respondents Richard E. Stevens and Betty J. Stevens, Individuall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04781 Mark B. Goodman Sara H. Goodman Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mark B. Goodman and Sara H. Goodman, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patricia Veach, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-04779 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia Veach, IRA, hereinafter referred as "Claimant": Douglas H. Gl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Burton Schwartz Trust Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubinan Case Number: 04-04774 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Burton Schwartz Trust, hereinafter referred to as "Claimant": Do

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Roark and Kristine Roark (Claimants) v. Advest, Inc., and David Goodwin (Respondents) Case Number: 04-04766 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Thomas Roark and Kristine Roark hereinafter collectively referred to as "Claimants"; Richard P. Weinstein, Esq., Wein

Award NASD Dispute Resolution In 'trie-Matter-of the Arbitration Between: Namf* rvf the Claimant Pa.w Number* 01-00199 Marvin R. Willis Name- of the Respondents Hearing .Site- Richmond, Virginia Russo Securities Inc., William G. Brown, Alex Korik, Ferdinand Russo, and Richard Anthony Russo RF.PRFSPNTATTOM OF PAKTTF.S Claimant Marvin R. Willis, hereinafter referred to as "Claimant", was represented by James C. Cosby, Esq., Cantor Arkema &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charlotte B. and James C. Ryan, Sr. and Names of Respondents Multi-Financial Securities Corporation, Sanders Morris Harris, Inc., and Bert Earl Miller, Jr. Case Number: 04-04764 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firms and Associated Person REPRESENTATION OF PARTIES Charlotte B. and James C. Ryan, Sr. ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Ellen Watson, Individually and as Trustee for The Mary Ellen Watson Trust Dated 5/06/93, Claimants v. Morgan Stanley DW Inc. and Theodore T. Rutter, Respondents Case Number: 04-04763 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: William S. Bonnheim, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc., f/k/a Fahnestock & Co. Inc. (Claimant) v. Mitchell T. Toland (Respondent) Case Number: 04-04759 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., f7k/a Fahnestock & Co. me, hereinafter referred to as "Claimant": Evelyn Bukchin, Esq., Oppenheimer & Co., Inc., New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04752 Michael McMahon Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Michael J. Bock Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael McMahon, hereinafter referred to as "Claimant": Randell Place, Esq., Blum and Silver, LLP, Coral Springs, Flori