Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Robert R. Hoflhian, Jr. Kathleen A. Hoffman Names nf thq ft fispnnripnt^ Merrill Lynch, Pierce, Fenner & Smith, Inc. Larry Goehring f!flgft Number 04-02808 Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATION OFPAttTTFS Claimants, Robert R. Hoffman, Jr. and Kathleen A. Hoffinan, h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02807 Andrew Fleiss, Claimant v. Fidelity Brokerage Services, LLC, Respondent ATTORNEYS: For Claimant Andrew Fleiss ("Claimant") appeared Norman Lawi, Esq., New York, NY. For Respondent Citigroup Fidelity Brokerage Services, LLC ("Respondent") appeared Melissa Hegger Shea, Esq., in-house counsel, Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member. DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Joseph L. Boain, Individually and On Behalf of His IRA Accounts and as Co-Trustee of the Boain Family Trust Name of the Respondent Prudential Equity Group, LLC asp Number: 04-02804 Hearing Site: St Louis, Missouri Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant, Joseph L. Boain, Individually and on Behalf o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter Fink and Case Number: 04-02803 Hearing Site: Milwaukee, Wisconsin Name of Respondents Salomon Smith Barney and William R. Merkley NATURE OF DISPUTE Customer v. Member and Associated Person. Claimant Peter Fink, ("Fink"),or .("Claimant"), was represented by Sean Lanphier Esq., of Mallery & Zimmerman, S.C. located in Milwaukee, Wisconsin.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r>f fop Plai^apt Pflpp. >fr ir nfrp r 04-02800 Nancy L. Branch, as Executor of the Estate of Beverly L. Branch, Deceased tfi* Dallas, Texas Prudential Equity Group, LLC and John A. Mogk OFTTTIT TMSPTTTF Public Customer v. Member Firm and Associated Person Claimant Nancy L. Branch, as Executor of the Estate of Beverly L. Branch, Deceased, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant • Case Number: 04-02796 Estate of Alfred D. Rappaport Names of the Respondents Hearing Site: Boca Raton, FL Morgan Stanley DW Inc. Richard Jay Berger Megan Marie McGrath Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For the Estate of Alfred D. Rappaport ("Rappaport"), hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James D. Gerlach Case No. 01-00029 Names of Respondents J. C. Bradford & Co. n/k/a UBS PaineWebber, Inc. as successor Buckman, Buckman & Reid, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For James D. Gerlach ("Gerlach"), hereinafter referred to as "Claimant": Gerald B. Kline, Esq. of Sims Moss Kline & Davis LLP, Atlanta, Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pauline S. Hamil, Claimant v. Ross Edwin Lamberts and WMA Securities, Inc., Respondents Case Number: 04-02787 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California For Respondent WMA Securities, Inc.: Michael A. Firestein, Esq

CASE: 04-02782 Dunlevy & Co., Incorporated, Claimant v. Dupont Securities Group, Inc. and David Wayne Parsons, Respondents ATTORNEYS: Claimant, Dunlevy & Co., Incorporated, ("Claimant"), appeared through in-house counsel, Paul E. Gorman, New York, NY. Respondents Dupont Securities Group, Inc. and David Wayne Parsons did not file Statements of Answer in this matter. Dupont Securities Group, Inc. and David Wayne Parsons are hereinafter collectively referr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lonnie Wright and Case Number: 04-02777 Hearing Site: Louisville, Kentucky Names of Respondents Seaboard Securities, Inc., and Dylan Joseph Howell NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Lonnie Wright ("Wright" or "Claimant") was represented by Scott A. Lane, Esq., Edgar Snyder & Associates, LLC, Pittsburgh