NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00272 David's Drapery Workroom, Inc., Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, David's Drapery Workroom, Inc., ("Claimant"), appeared James Richard Hooper, Esq., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents"), ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00269 Robert Ockerman Names of the Respondents Hearing Site: Tampa, Florida SouthTrust Securities, Inc. and Connie Ruse Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Robert Ockerman, hereinafter referred to as "Claimant": James Richard Hooper, Esq., Hooper & Weiss, L.L.C., Orlando, Fl

I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Muchowski IRA (Claimant) v. Linsco/Private Ledger Corp. a/k/a LPL Financial Services and Regina Bolvin (Respondents) Case Number: 03-00265 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Muchowski IRA ("Muchowski") hereinafter referred to as "Claimant": Jonathan W. Evans,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Faso (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. (Respondent) Case Number: 03-00260 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Charles Faso ("Faso") hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino, PLLC, Williamsville, NY. Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harriet Wassner Leinwand and 03-00259 Tucson, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Harvey T.Bart Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harriet Wassner Leinwand ("Claimant") was represented by Richard S. Hudgins, Esq., Slosser, Hudgins, Struse & Freund, P.L.C., Tucson, Arizona.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00257 Suzanne E. Rocheleau, Claimant vs. CIBC World Markets Corporation, Respondent. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel, Michelle Murphy, Esq., New York, NY. DATE FILED: January 13, 2003 CASE SUMMARY: Claimant alleged that Respondent entered inaccurate reasons for her termination on her Form U-5, and requested the expungement of th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Qimat R. Goyal, (Claimant) vs. Fimat USA, Inc., Fimat Futures USA, Inc., Fimat International Banque, S.A., Stephen L. Forman, and Stephen Bergan, (Respondents) Case Number: 00-04320 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Qimat R. Goyal, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Eric J. Sussman, Esq., a sole

stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Frances Decarlo Case No. 00-00041 Names of Respondents Advest, Inc. Stephen Constantine REPRESENTATION OF PARTIES For Frances DeCarlo ("DeCarlo"), hereinafter referred to as "Claimant**: Russell C. Silverglate, Esq., Dickenson, Murdoch, Rex & Sloan, P.A., Boca Raton, Florida. For Advest, Inc. ("Advest**) and Stephen C. Constantine ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Bellrose (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Dale Kramer (Respondents) Case Number: 03-00256 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Howard Bellrose ("Bellrose") hereinafter referred to as "Claimant": Michael H. Ference, Esq., Sichenzia

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert G.Wilson and Names of Respondents Sigma Financial Corporation, Larry J. Mathewson, Jerome S. Rydell, Michael J. Brooks, and Mathewson & Associates, Inc. Case Number; 03-00254 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Robert G. Wilson ("Cl