Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf tne Claimant Case Number: 04-00405 Eva E. Hasher nf the Respondent Hearing Site 1 Philadelphia, Pennsylvania Greater Metropolitan Investment Services Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Eva E. Hasher, hereinafter referred to as "Claimant", was represented by Jeffrey D. Horn, Esq., Attorney at Law, Williamstown, New Je

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00403 Mary C. Maniscalco and Richard A. Maniscalco, JTWROS, Claimants v. Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimants Mary C. Maniscalco and Richard A. Maniscalco, JTWROS (collectively "Claimants") appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents Citigroup Global Markets, Inc. and Jack B. Grubman (c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nina Frankel (Claimant) v. Carillon Investments, Inc. and Scott V. Payden (Respondents) Case Number: 04-00399 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Nina Frankel ("Frankel") hereinafter referred to as "Claimant": Jonathan E. Rosenbaum, Esq., Elyria, OH. Respondents Carillon Investments, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Spina, (Claimant) vs. Schroder & Co., Inc. n/k/a BNY Clearing Services LLC, Dupont Securities Group, Inc., Stanislov Kaminsky, and David Parsons, (Respondents) Case Number: 00-05580 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Spina, hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville, P.C., New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00398 George L. Schneider, Jr. and Albert J. Kirchner, Claimants v. Theodore M. Sabarese Children's Trust - Lewis Braff Trustee, Respondent. ATTORNEYS: For Claimants, George L. Schneider, Jr. and Albert J. Kirchner, ("Claimants"), appeared David A. Checchio, Esq., of the firm Bressler, Amery & Ross, P.C., New York, NY. For Respondent, Theodore M. Sabarese Children's Trust - Lewis Braff Trust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brigitte Zirnig-Rank, Claimant v. Morgan Stanley Dean Witter & Co. aka Morgan Stanley DW Inc. and Rommy M. Maytal, Respondents Case Number: 04-00394 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Frank E. Marchetti, Esq. Kabateck Brown Kellner LLP Los Angeles, California For Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Dennis W. Winsor and Alejandra L. Winsor, Individually, and onhehalf of their National Placement 401(k) Profit Sharing Plan & Trust v. 04-00388 Minneapolis, Minnesota Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of Dispute; Customers v. Member REPRESENTATION OF PARTIES Dennis W. Winsor and Alejandra L. Winsor, Individually, and on behalf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 04-00385 Ray C. Donaldson Name nf the Respondents Hearing Site: Indianapolis, Indiana McDonald Investments, Inc. and Charles H. Garrido Customer vs. Member Firm and Associated Person RFPRFfiFMTATIOM HP PARTIES William C. Wagner, Esq. of the law firm Sommer Bernard Ackerson, P.C., located in Indianapolis, Indiana represented Claimant, Ray

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Bruce A. Fadem, Lloyd R. Fadem, individually and as Co-Trustees of the Albert Fadem Living Trust, and Jennifer J. Fadem, individually and Names of Respondents Case Number. 04-00382 Hearing Site: Oklahoma City, Oklahoma Citigroup Global Markets, lnc.,f/k/a Salomon Smith barney, Inc., and Kosta P. Veils NATURE OF CASE Customers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00381 Maria T. Gutierrez Name of the Respondent Hearing Site: Boca Raton, FL TD Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Maria T. Gutierrez ("Gutierrez") appeared pro se. For TD Waterhouse Investor Services, Inc. ("TDWIS"), hereinafter referred to as "Respondent":