Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: j Marc F. Jones, Claimant v. Vanguard Capital, Gregory Serras and Carole it,! Serras, Respondents Case Number: 00-05597 Hearing Site: Los Angeles, California For Claimant: For Respondents: REPRESENTATION OF PARTIES J. Paul (jjignac, Esq. Arias, Qzzello & Gignac, LLP Santa Barbara, California Kennet^ ?• Me Arthur, Esq. Troy and Gould Los Angeles, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number 04-00622 Thomas B. Hanna Names nf the Respondents Wearing Site? Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. James Graham Paterson, Jr. Nature of the Dispute: Customer v. Member and Associated Person. KKPRFSFNT ATTON OF PARTTF.S Claimant, Thomas B. Hanna, hereinafter referred to as "Claimant", was represented by Carrie

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pare Nnmter 04-00621 Xavier Jordan Nam** of the Respondent Hearing Site- Washington, D.C. Fidelity Brokerage Services, LLC Nature of the Dispute: Customer vs. Member. KFPRFSTHNTATTON OF PAKTTF.S Claimant, Xavier Jordan ("Claimant"), was represented by Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta,, Washington, D.C.. Respondent, Fideli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number! 04-00619 i W. Wells Van Pelt, Jr. Name of the Respondents Hearing Site- Charlotte, North Carolina UBS Financial Services, Inc. Michael Richard Williams i Nature of the Dispute: Associated Person vs. Member and Associated Person. KF.PRF.SFNTATTON OF PARTTFS Claimant, W. Wells Van Pelt, Jr., hereinafter referred to as "Claimant", was r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Case Number- 04-00618 Ronald E. and Mai Y. Plyler Names nf the TiegprmHentg Hearing Site* Pittsburgh, PA Allmerica Investments, Inc. Veravest Investments, Inc. Nature of the Dispute: Customers vs. Members RFPRFSFNTATTON OF PARTIES Claimants, Ronald E. and Mai Y. Plyler, hereinafter collectively referred to as "Claimants", were represented by Robert W. Go

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00612 UBS Financial Services, Inc. f/k/a UBS Paine Webber, Inc., Claimant v. Sally H. Kim, Respondent. ATTORNEYS: For Claimant, UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., ("Claimant"), appeared Deborah H. Gottlieb, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent, Sally H. Kim, ("Respondent"), did not submit a response to the Statement of Claim. NAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the Claimant Case Number: 04-00611 Herbert. Andrew Boerstling Names nf the Respondents Hearing Site: Washington, D.C. Prudential Equity Group, LLC Robert S. Wright Sheldon Ray, Jr. Douglas Richards Forrest Williams Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Herbert Andrew Boerstling, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Restifo (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Kevin Doss (Respondents) Case Number: 04-00608 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David C. Restifo ("Restifo") hereinafter referred to as "Claimant": Thomas A. Muzilla, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy J. Foley, Individually, Carol A, Foley, Individually, Timothy J. Foley and Carol A. Foley JTWROS (Claimant) v. Michael DeVito and Cadaret, Grant & Co. (Respondents) . Case Number: 04-00605 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Timothy J. Foley, Individually (T. Foley),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Sturmer (Claimant) v. Metlife Securities, Inc., Nicholas Larusso, Paul D'Amico and Douglas James (Respondents) Case Number: 04-00604 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Carol Sturmer ("Sturmer") hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker &