Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hyman B. Taitelman Names of the Respondents Morgan Stanley DW, Inc. Donald Horras Case Number: 04-02155 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hyman B. Taitelman, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Nathan and Marilyn Finkelstein Name of the Respondent Citigroup Global Markets, Inc. a/k/a Salomon Smith Barney, Inc. Case Number: 04-02148 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nathan and Marilyn Finkelstein, hereinafter collectively referred to as "Claimants": Bradley R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pedro Liriano (Claimant) v. Advest, Inc. and Patrick Buettner (Respondents) Case Number: 04-02146 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pedro Liriano ("Liriano") hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., Williamsville, NY. Respondents Advest, Inc. ("Advest") and P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02137 Frederick Weiner and Maria Weiner, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Frederick Weiner and Maria Weiner (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P. A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASH: 04-02135 Timothy $. Kuehenbecker IRA, Claimant v. Bill Gundcrscm and Torrey Fines Securities, Respondents ATTORNEYS: Claimant Timothy S. Kuehenbecker IRA ("Claimant") appeared pro $*/San .Diego, CA. Respondent Bill Guoderson appeared pro se, Escondido, CA. For Respondent Torrey Pines Securities appeared Jack S. Smith, Torrey Pines Securities, Inc., San Diego, CA. NATURE OF DISPUTE: Cust

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: NatCity Investments, Inc., vs. Sheila Lugibill Carmen Thomas Parilia Matthew Ristvey Conseco Securities, Inc. Claimant, Respondents. Case No. 00-05769 REPRESENTATION OF PARTIES Claimant, NatCity Investments, Inc. ("NatCity") was represented by Robert N. Rapp, Esq., of Caifee, Halter & Griswoid LLP, Cleveland, Ohio. Respondents Sheila Lugi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Walter I. Chapman, Jr. i "Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Eugene D. Foxworth, III Charles H. Maguire, III CasaJSmober: 04-02134 aring Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRFSFNTATION OF PARTTFS Claimant, Walter I. Chapman, Jr., he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02133 Mark Alexander, Claimant v. Knight Equity Markets, L.P., Respondent ATTORNEYS: Claimant Mark Alexander ("Claimant") appeared pro se, Mayfield Heights, OH. For Respondent Knight Equity Markets, L.P. ("Respondent") appeared Kenneth W. Gerver, Esq., Knight Equity Markets, L.P., Jersey City, NJ. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: March 29, 2004. CASE SUMMARY: Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosario Tropeano and Concetta Tropeano (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvey Bell (Respondents) Case Number: 04-02132 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Rosario Tropeano ("R. Tropeano") and Concetta Tropeano ("C. Tropeano") hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 04-02127 Nazila Talebly Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nancy Goethel E. Thomas Holder, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nazila Talebly, hereinafter referred to as "Claimant": Wayne H. Schwartz