Award NASD Dispute Resolution In the Matter of the Arbitration Between: Woods Hole Endowment Fund and Trustees of the Retirement Trust For Employees of Woods Hole Oceanographic Institution (Claimants) vs. Lipper Holdings, LLC, Lipper & Company L.P., Kenneth Lipper, Abraham Biderman and Edward Strafaci (Respondents) Case Number: 04-0933 Hearing Site: Boston, Massachusetts. Nature of the Dispute: Customer vs. Terminated Member, Non-Member and Associated P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00931 Olga Godwin, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Jack B. Grubman, Respondents. mith Barney, Inc. and ATTORNEYS: For Claimant, Olga Godwin, ("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, ("Respondents"), appe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Filomena C. Peloro (Claimant) v. R. Seelaus Co., Inc. and Kevin J. McLaughlin (Respondents) Case Number: 04-00930 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Filomena C. Peloro hereinafter referred to as ("Claimant"): Richard W. Vallario, Esq., Richard W. Vallario, Esq., Attorney at L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION Case: 04-00929 Philip Sack, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: ~~~ For Claimant, Philip Sack, ("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"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen and Dean Bedgar, (Claimants) vs. Raymond M. Brown, Joan Brown, and Princeton Equity Securities, Inc., (Respondents) Case Number: 00-05641 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimants, Karen Bedgar ("K. Bedgar") and Dean Bedgar ("D. Bedgar"), hereinafter collectively referred to as "Claimants": Stuart E. Finer, Esq., a sole practitioner, Utica, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE.-00-00562 Chester J. Derek & Helen D. Derek, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Saginaw, ML For Respondent appeared in-house counsel, Darleen Monaco, Esq., New York, NY. DATE FILED: February 8, 2000 CASE SUMMARY: Claimant alleged that respondent churned his account through the purchase and sale of RJR Nabisco Pref. C stock. Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00928 The Schurman Company, Claimant v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant The Schurman Company, ("Claimant"), appeared Marshall P. Richer, Esq., Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc f7k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00927 Sherryl Diane Griffin Names of the Respondents Hearing Site: Atlanta, Georgia ING Financial Partners, Inc. as successor to Washington Square Securities (CRD No. 2882), and Bobby Dean Anderson (CRD No. 4819) Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherryl Diane G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the dai John Buchanan Name nf the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. rase Number- 04-00925 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, John Buchanan, hereinafter referred to as "Claimant", was represented by David R. Simonsen, Jr., Esq., Richmond, Virginia. Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Karl and Penelope Kucab and Names of Respondents Ogilvie Security Advisors Corp. Joseph A. Spoerl Joseph A. Spoerl L.L.C. d/b/a Improved Funding Techniques-Michigan Source Brokerage, Inc., and First Trust Corporation d/b/a Retirement Accounts, Inc. Case Number: 04-00922 Hearing Site: Detroit, Michigan NATURE OF CASE Cu