Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Neil J. Watko nf the Citigroup Global Markets, Inc, f/n/a Salomon Smith Barney, Inc. Lee Oleinick Niimher; 04-03121 Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Neil J. Watko, hereinafter referred to as "Claimant", was represented by Scott Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities Financial Network, Inc. Name of the Respondent James Caterino Case Number: 04-03111 Hearing Site: Boca Raton, FL Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Wachovia Securities Financial Network, Inc. ("WSFN"), hereinafter referred to as "Claimant": Gregory S. Tendrich, Law Office of Gregor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey L. Gurian and Marjorie Gurian (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., John C. Campeau, and Noah L, Myers (Respondents) Case Number: 04-03107 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Jeffrey L. Gurian ("J. Gurian") and Marjorie Guria

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Rylick, (Claimant) vs. Joseph Charles & Associates, Inc., (Respondent) Case Number: 01-00065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John W. Rylick, hereinafter referred to as "Claimant": Eric A. Summerville, Esq., Summerville, Radding & Campbell, Jersey City, NJ. Respondent, Joseph Charles & Associates, Inc., hereinafter referred to as "Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Securities America, Inc. and Case Number: 04-03105 Hearing Site: Omaha, Nebraska Name of Respondent Scott Jonathan McKay Wolas a/k/a Allen Lee Hengst NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Securities America, Inc. ("Claimant") was represented by Matthew J. Egrin, Esq., Edgerton & Weaver, Hermosa Beach, Califor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul R. Curran (Claimant) v. People's Securities, Inc. (Respondent) Case Number: 04-03104 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul R. Curran hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence, RL Respondent People's Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03101 Patrick Diesu Names of the Respondents Hearing Site: Orlando, Florida Rocco Spaccio Sunpoint Asset Managers, Inc. d/b/a Sunpoint Asset Management, Inc. LaSalle Street Securities, L.L.C. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Patrick Diesu, hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Adele S. Bloom Name of the Respondent Wachovia Securities Financial Network, LLC Case Number: 04-03100 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Adele S. Bloom ("Bloom"), hereinafter referred to as "Claimant": Steven R. Reininger, Esq., Rasco Reininger Perez & Esquenazi, P.L., Coral

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Joseph M. and Karen J. Stockhausen and 04-03093 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. d/b/a Smith Barney JackB. Grubman Michael Jay Grace Philip L. Spartis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Joseph M. and Karen J. Stock

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Case Number: 04-03091 Name of the Respondent SG Cowen Securities Corp. Name of Third-Party Respondent Lehman Brothers, Inc. Hearing Site: St. Louis, Missouri MATIIPF OF DISPUTE Member Firm vs. Member Firms OF PARTIFft Matthew Salamon, Esq. of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri, represen