AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Glenda Joyce Boettcher, Beverly A. Robertson, Gwendolyn R. Johnson, Ernie Lee Sayre and Jerry Hunter v. 04-04215 Louisville, Kentucky Respondents A.G. Edwards & Sons, Inc., and Byron Lee Holley NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Glenda Joyce Boettcher, Beverly A. Robertson, Gwendolyn R. Johnson, Ernie Le

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Rosemary LaBorde and Respondents UBS Financial Services Inc. and Michael Lewis Block Case Number: 04-04212 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Rosemary LaBorde ("Claimant") was represented by Martin J. Brosnan, Esq., Edward M. Nahhat, Esq., and Susan M. Chrzanowski

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Clemance O. Hanania, individually and as Trustee of the Clemance OklaHanania Living Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kay Joseph J. Michael Joseph Case Number: 04-04209 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04206 Dr. Phillip Ellman Marilyn Ellman Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dr. Phillip Ellman and Marilyn Ellman, hereinafter collectively referred to as "Claimants": Eric M. Norstedt, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: BE: 04-04203 Eva E. Pedrazzini TTEE FBO Eva E, Pedrazzini Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB.Grubman Heari I tig-Site: TampHj Florida Nature of the Dispute: Customer vs. Member and Associated Person. For Eva E. Pedrazzini TTEE FBO Eva E. Pedrazzini, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Orlando, Florida a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sue Ellen Young Knolle and Names of Respondents Lucien, Stirling & Grey Financial Corp., and Robert Stirling Phipps Case Number: 04-04195 Hearing Site: Houston, Texas NATURE QF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Sue Ellen Young Knolle ("Claimant") was represented by Robert E. Lapin, Esq., Lapin &

06/18/2005 14:34 FAX NASD REGULATION ilOOl Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerry L. DeMuesy (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gregory W. Hartrum (Respondents). Case Number: 04-04174 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gerry L. DeMuesy hereinafter referred to as "Claimant"; Peter F. von Mei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION .CASE: 04-04172 Susan E. Michalsen IRRA, Claimant v. Merrill Lynch, Pierce, Former & Smith, Inc., Angela Rose Zollner, Jeffry Diacono, and Rhonda K. Wolfe, Respondents ATTORNEYS: " " " ~ " Claimant Susan E. Michalsen IRRA ("Claimant") appeared pro se, Asheville, NC. For Respondents Merrill Lynch, Pierce, Fanner & Smith, Inc., Angela Rose Zollner, Jeffry Diacono, and Rhonda K, Wolfe (collectively "Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04171 Virinderpal Singh and Suchet Kandhari, Claimants v. GunnAllen Financial, Inc., Steven A. Busto, and Vincent J. Fuca, Respondents ATTORNEYS: Claimants Virinderpal Singh and Suchet Kandhari (collectively "Claimants") appeared pro se, Fairfield, NJ. For Respondents GunnAllen Financial, Inc., Steven A. Busto, and Vincent J. Fuca (collectively "Respondents" appeared Jay Marc Israel, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Norma Schonwetter and Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Carole E. Kaufman Case Number: 04-04168 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Norma Schonwetter ("Claimant") was represented by Joel H. Kaufman, Esq., Law Offices o