Award NASD Dispute Resolution In the Matter of the Arbitration Between: R nf the Claimant Connie S. Osborne Name nf the Respondents A.G. Edwards & Sons, Inc. and Polly Sue Jones asfi Number: 04-04115 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Connie S. Osborne, hereinafter referred to as "Claimant": Robert J. Benbenek, Esq. of Devoto & Be

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jose C. Martin, M.D., Trustee, Jose C. Martin, M.D. P.A. Pension Plan U/A DTD 12/27/93 Name of the Respondent Charles Schwab & Company, Inc. Case Number: 04-04109 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jose C. Martin, M.D., Trustee, Jose C. Martin, M.D. P.A. Pension Pl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael G. Maida Names of the Respondents Paragon Financial Group, Inc. Bear Steams Securities Corporation Don W. Reinhard Case No.: 04-04105 (consolidated with 04-04106 and 04-06134) Hearing Site: Tampa, Florida In the Matter of the Arbitration Between: Name of the Claimant Karen Maida McCormick and Michael G. Maida Names of the Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narnp, nf the Claimants ' Case Numhpr: 04-04097 Gloria J, Field, William C, Field and , William C. Field Trust Name nf thfi Respondent Hearing Site: Chicago, Illinois First Union Securities n/k/a Wachovia Securities, LLC, Prudential Equity Group a/k/a Prudential Financial , and Andrew Martin Nature of the Dispute: Customers vs. Member Firms and Associated Person REPRESEN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Herbert S. Kassner, Trustee Name of the Respondent Citigroup Global Markets, Inc. Case Number: 04-04094 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Herbert S. Kassner, Trustee, hereinafter referred to as "Claimant", appeared pro-se. For Citigroup Global Markets, Inc., hereinafter referre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04092 Danforth E. Holley, Claimant v. UBS Financial Services, Inc., Respondent ATTORNEYS: Claimant Danforth E. Holley ("Claimant") appeared pro se, Detroit, ML For Respondent UBS Financial Services, Inc. ("Respondent") appeared Joel E. Davidson, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: June 10, 2004. CASE S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Linton H. Erdmann IRA Lin Erdmann Linton Industries Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney., Inc. Jack B. Grubman Case Number: 04-04088 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linton H. Erdmann IRA, Lin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04087 Elmer E. and Barbara J. Hehl JTWROS Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., fk/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elmer E. and Barbara J. Hehl JTWROS, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04086 Melvin and Mattie Cook JTWROS Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin and Mattie Cook JTWROS, hereinafter collectively referred to a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Comet Enterprises, LLC v. 04-04080 Denver, Colorado Respondents / Counter-Claimants Merrill Lynch, Pierce Fenner & Smith, Inc., and James D. Pell and Third-Party Claimants Merrill Lynch, Pierce Fenner & Smith, Inc., and James D. Pell v. Third-Party Respondents Watch Hill Capital Management, LLC, Golden Heritage, LLC,