Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emilio A. Grugnale (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael Higgins (Respondents) Case Number: 04-00224 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Emilio A. Grugnale ("Grugnale") hereinafter referred to as "Claimant": Sheldon H. Gopstein, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita Delia Camera (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Joseph M. Linta (Respondents) Case Number: 04-00222 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anita Delia Camera ("Delia Camera") hereinafter referred to as "Claimant": David R. Schaefer, E

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Christopher Glauch and Melissa Glauch v. 04-00210 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Carl Hoover and Scott Thisted Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Christopher Glauch and Melissa Glauch ("Claimants") were represented by Chad P. Hemmat, Esq., of Anderson

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert H. Warman (Claimant) v. Citicorp Investment Services and Lee Korn (Respondents) Case Number: 04-00201 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Herbert H. Warman ("Warman") hereinafter referred to as "Claimant" appeared pro se. Respondents Citicorp Investment Services ("CIS") a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 04-00190 Hearing Site: Houston, Texas Name of Respondent Martin E. Guillory, Jr. Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Laura A. Martin, Esq., of Davidson & Grannum, LLP, in Northvale, New Jersey. Martin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George B. Schenck, Claimant v. Citigroup Global Markets, Inc. and Paul David Babaz, Respondents Case Number: 04-00183 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brad M. Johnston, Esq. Hale Lane Peek Dennison and Howard Reno, Nevada For Respondents: Nancy H. Baughan, Esq. Parke

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Mary S. Plettenberg, on behalf of herself and her deceased husband Frank L. Plettenberg, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-00180 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Mary S. Plettenberg Pro Se Phoenix, Arizona For Respondent: Joshua D. J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00176 Stephen M. Hammers, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: Claimant Stephen M. Hammers ("Claimant") appeared pro se, Brentwood, TN. Previously represented by: John E. MacDonald, Esq., of the firm Stark & Stark, P.C., Princeton, NJ. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alexander Nemiroff, Esq., of the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Dillon and Karen K. Dillon (Claimants) v. Michael E. Zweig, The Zweig Group, and Merrill Lynch, Pierce, Fenner & Smith, Inc., and Phillip Irvin (Respondents) Case Number: 04-00173 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons,, REPRESENTATION OF PARTIES Claimants Thomas J. Dillon ("T. Dillon") and Kar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald V. Healy, Claimant v. Fletcher and Faraday, Inc., Ben L. Wilson, Kirk J. Graham, and Yury Sapir, Respondents Case Number: 00-05561 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Fletcher and Faraday, Inc. For Respondent Ben L, Wilson: For Respondent Kirk J. Graham: For Respondent Yury Sapir: Steven B. Car