AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary A. Zassadney and Named of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Dewey D. Steffen Case Number: 02-07137 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Mary A. Zassadney ("Claimant") was represented by Michael P. Marsalese, Esq., Marsalese Law Group, PLLC, Southfield, Michigan. Citig

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Kernochan, Claimant v. Morgan Stanley DW Inc. and James A. Podleski, Respondents Case Number: 02-07128 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bruce R. Safran Northridge, California For Respondents: Ronald E. Wood, Esq. Morgan Stanley DW Inc. Los Angeles, Californi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants: Savers Investments, Inc., Markman-Humphries, Inc., and BMI Investments, Inc. vs. Case Number: 02-07127 Hearing Site: Houston, Texas Names of Respondents: Merrill Lynch, Pierce, Fenner& Smith, Inc. and Victor D. Walker NATURE OF CASE Customers vs. Member and an Associated Person REPRESENTATION OF PARTIES Claimants, Savers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glynmar Holdings Pty. Ltd., Claimant v. Ehrenkrantz King Nussbaurn, Inc. and David L. Sulkes, Respondents Case Number: 02-07125 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Murray Lewis Party Representative Queensland, Australia For Respondents: Robert M. Bursky, Esq. Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Jeff F. Clarke and Kristy K. Clarke Case Number: 02-07122 Name of the Respondents Hearing Site: Omaha, Nebraska RBC Dain Rauscher, Inc. and Scott Von Minden REPRESENTATION OF PARTIES Claimants, Jeff F. Clarke and Kristy K. Clarke, "Claimants" were represented by Rodney K. Vincent, Esq., Vincent Law Office, Lincoln, Nebraska. Respondents, RBC Dain Ra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Number: 02-07120 Dennis D. Brooks (Master Case) Barbara Brooks Names of the Respondents Hearing Site- Charlotte, NC Ferris, Baker Watts, Inc. Joseph L. Owen In the Matter of the Arbitration Between: e nf the Claimant Pasp Niimhpr: 03-07730 Dennis D. Brooks (Subordinate Case) Names of the Respondents Hearing Site: Charlotte, NC Scott & Stringfellow, Inc. Josep

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04183 Anita Pins, Claimant vs. Montrose Capital Management Ltd., John Ferraro and John Telfer, Respondents. ATTORNEYS: Claimant, Anita Pins, ("Claimant"), appeared Pro Se, Brooklyn, NY, Respondent, Montrose Capital Management Ltd., ("Montrose"), John Ferraro, ("Ferraro") and John Telfer, ("Telfer"), (collectively referred to as "Respondents"), did not respond to the Statement of Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert W. Baird & Co. Incorporated Names of the Respondents SunAmerica Securities, Inc. Glenn M. Ullmann Aric Berquist Deanna A. Calabrisotto Case Number: 02-07118 Hearing Site: Orlando, Florida Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Robert W. Baird & Co. Incorporated, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07114 Prime Charter LTD Name of the Respondent Hearing Site: Boca Raton, Florida Joseph Messina Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prime Charter LTD, hereinafter referred to as "Claimant": Evelyn Bukchin, Esq., Prime Charter, LTD, New York, New York. Joseph Messina, hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07105 Ronald J. Kovack Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald J. Kovack, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. For Merril