Award NASD Dispute Resolution In the Matter of the Arbitration Between: James H. Silberman and Selma Shapiro (Claimants) v. John Spooner and Salomon Smith Barney a/k/a Citigroup Global Markets, Inc. (Respondents) Case Number: 04-01791 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants James H. Silberman ("Silberman") and Selma Shapiro ("Shapiro") hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Wenzel and Beverly J. Wenzel and Robert Horton and Franca Gioia (Claimants) v. STG Secure Trading Group, Millennium Brokerage, LLC, Richard Dalberth, Andrew Schneider, and Mamie Koroluk (Respondents) Case Number: 04-01787 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Members and Associated Persons. ^ REPRESENTATION OF PARTIES Claimants, Mark Wenzel a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Archie Coran and Katherine Goran vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Anthony Agosta, and Daniel LaRosa Case Number: 04-01782 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Archie Coran and Katherine Coran ("Claimants") wer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Michael Woodlock, Claimant v. Edwin P. and Bobbie J. Myers, Camilo and Maria Cadena, Thomas and Judith Carswell, Jessie and Florida Fields, James Lee Foster and Anita Foster, Emede O. Garcia and E.D. Kriegel and Carol Kriegel, et al, Respondents r- 04-01769 REPRESENTATION OF PARTIES J. Michael Woodlock was represented by Jack D. Ballard of The Ballard Law Firm, 3700 Bu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: West Caldwell Office Associates, LLC, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Christopher Killeen, (Respondents) Case Number: 00-05729 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, West Caldwell Office Associates, LLC, hereinafter referred to as "Claimant": James J. Higgins, Esq., Law Office of James J. Higgins, Florham Park, NJ. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01767 Ralph S. Fox, Jr., and Mariangela G. Fox, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEY^ For Claimants, Ralph S. Fox, Jr., and Mariangela G. Fox, ("Claimants"), appeared A. Renee Preston, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Sydell Sandier Sherry Zimand Scott J.Coltune Stacey Coltune Quentin Sandier Gail Reiss Arthur Zimand Gary Sandier Rochelle Sandier Sherry Coltune Maternal Trust Sherry Coltune Paternal Trust Scott Coltune 86-1 Irrevocable Trust Stacey J. Coltune 1995-1 Irrevocable Trust Stacey J. Coltune 86-1 Irrevocable Trust Gail Sandi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01755 McDonald Investments, Inc. Name of the Respondent Hearing Site: Tampa, Florida Ross A. Bunson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For McDonald Investments, Inc., hereinafter referred to as "Claimant": Robert N. Rapp, Esq., Sharon A. Luarde, Esq. and Alexander E. Gertsburg, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01751 McDonald Investments Inc. Name of the Respondent Hearing Site: Tampa, FL John C. Romanoff Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For McDonald Investments Inc., hereinafter referred to as "Claimant": Robert N. Rapp, Esq., Sharon A. Luarde, Esq. and Alexander E. Gertsburg, Esq., Calfe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheryl L. Walker, IRA, Claimant v. Prudential Equity Group, LLC fk/a Prudential Securities, Inc., Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Presidential Brokerage, Inc., Jason A. Dominicak, Lee A. Tripodi, and Glenn P. Mazzone, Respondents Case Number: 04-01747 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Members and Associated Person