Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joyce Galletta, IRA (Claimant) vs. Morgan Stanley DW, Inc., Prudential Equity Group, Inc., f/k/a Prudential Securities, Inc. and John Azzato (Respondents) Case Number: 04-02853 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Joyce Galletta, IRA hereinafter referred to as "Claimant": Mitchell H. Cob

Award NASD Dispute Resolution In the Matter of the A:bitration Between: DeMarco Stone Funeral Home Inc., Demarco Stone Funeral Home Pension and Profit Sharing Plan fbo Michael A. DeMarco, Michael A. DeMarco, and Janet DeMarco (Claimants) v. David P. Vanderzee (Respondent) Case Number: 04-02846 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimants DeMarco Stone Funeral Home Inc. ("De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Silver v. UBS Financial Services, Inc. Case Number: 04-02832 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Scott Silver hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Adler & Hyman, LLP, East Meadow, NY. Respondent UBS Financial Services, Inc. hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: PEB Financial Group, Inc., Case Number: 04-02821 Claimant, v. Hearing Site: Chicago, Illinois Michael P. Cahill, an Individual and Waterstone Financial Group, Inc., an Illinois Corporation, Respondents. Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES PEB Financial Group, Inc. ("PEB"), hereinafter referred to as "Claimant": Mic

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant H & R Block Financial Advisors, Inc. and 04-02820 Phoenix, Arizona Name of Respondent William M. Deegan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES H & R Block Financial Advisors, Inc. ("Claimant") was represented by Kathleen A. Dedenbach, Esq., H & R Block Financial Advisors, Inc., Detroit, Michigan. William M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Norman and Kim Holmes Case Number: 01-00030 of the Respondents Sands Brothers & Company, Ltd. Robert K. Connors Hearing Site: Washington, DC RFPRFSFNTATTON OF PARTTFS Claimants, Norman and Kim Holmes, hereinafter collectively referred to as "Claimants", were represented by Larry M. Keller, Esq., Sidkoff, Pincus & Green, P.C., Philadel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Larson, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Case Number: 98-04958 Hearing Site: Milwaukee. Wisconsin REPRESgNTATIQN OF PARTIES Claimant, Craig Larson, "Larson", hereinafter referred to as "Claimanf, was represented by James J. Eccleston, Esq., of Eccleston & Associates, P.O., Chicago, Illinois. Respondent, Merrill Lynch, Pierce,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02815 Rose M. Pallitto and John Pallitto, Claimant vs. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc., Respondent ATTORNEYS: For Claimants Rose M. Pallitto and John Pallitto (collectively "Claimants") appeared Renuka Jayasekera, Lincoln Square Legal Services, New York, NY. For Respondent Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. ("Respondent") appeare

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tbe Claimant Hallee P. Morgan Names of the Oppenheimer & Co. Inc. Gerald D. Levine Case Number- 04-02810 Hearing Site: Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. •RKPRRSFNTATTON OF PARTTRS Claimant Hallee P. Morgan, hereinafter referred to as "Claimant", was represented by John P. Connolly, Esq., Law Offices of Jo

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpeg of the Plflimante (^agp Numhftr 04-02808 Robert R. Hof&nan, Jr. Kathleen A. Hof&nan Names off he RpspnnHpntg H 631 * 1 '* 1 P^Site* Pittsburgh Pennsylvania Merrill Lynch, Pierce, Fenner & Smith, Inc. Larry Goehring Nature of the Dispute: Customers vs. Member and Associated Person. RFPPFSFNTATION fVF PARTIES Claimants, Robert R. Hof&