Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant r*agp;Nnmher 04-01863 Ronald L. Altany, Executor for The Estate of Marilyn C. Altany Name r>f the Respondent Hearing Site: Pittsburgh, Pennsylvania Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTFS Claimant, Ronald L. Altany, Executor for the Estate of Marilyn C. Altany, hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01854 J. Richard and Linda M. Swenson, Claimants v. Roxanne T. Seaton and Floyd Barntu, Respondents. ATTORNEYS: Claimants, J. Richard and Linda M. Swenson, ("Claimants"), appeared pro se, Sebring, FL. Respondents, Roxanne T. Seaton and Floyd Barnett, (collectively "Respondents"), appeared through Neil S.Baritz., Esq., of the firm Bartiz & Colman, Boca Raton, FL. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Lolita Fabre, as special administrator and beneficiary of the Estate of Margaret P. Galecki Case No. 00-05738 BNY Clearing Services LLC; James A. Reis; M & M Bancorp/Investment Dept.; and, First Union Securities, Inc. Site: Milwaukee, Wisconsin OF Claimant Lolita Fabre, as special administrator and beneficiary of the Estate of Margaret P. Gal

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration.Between: Dorothy S. Parzynski (Claimant) v. Putnam Investments; Putnam Retail Management Limited Partnership; McDonald Investments, rnc; and Douglas Patrick Sanker (Respondents) Case Number: 04-01848 Hearing Site: Cleveland, Ohio . Nature of the Dispute: Customer v. Members, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant Dorothy S. Parzynski hereinafter refer

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Conrad F. and Ruth H. Schenk and Names of Respondents Ad vest, Inc. and Robert C. Matlock, Jr. Case Number: 04-01847 Hearing Site: Louisville, Kentucky NATURE OF CASE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Conrad F. and Ruth H. Schenk ("Claimants") were represented by James P. McCrocklin, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benedetta Coccia (Claimant) v. AXA Advisors, LLC and Robert Tighe (Respondents) Case Number: 04-01839 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Benedetta Coccia ("Coccia") hereinafter referred to as "Claimant": Joanne A. Schulz, Esq., Williamsville, NY. Respondent AXA Advisors,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01836 Maynard F. Bailey, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Maynard F. Bailey ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman ("Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01835 Frank P. Walsh, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Frank P. Walsh ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman ("Respondents")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry and Barbara Kaczmarek (Claimants) v. Prudenital Securities, Inc., Wachovia Securities, LLC and Joseph Reedy (Respondents) Case Number: 04-01824 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Harry and Barbara Kaczmarek hereinafter collectively referred to as "Claimants": Joann

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Case Number- 04-01823 Donna H. Morse Names nf the Respondents Hearing Site: Pittsburgh, PA Brad Zerbe Brian Massingale Rhonda Wolfe — ........ Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Associated Persons and Member RFPRFSF.NTATION OF PARTIES Claimant, Donna H. Morse, hereinafter referred to as "Cl