Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Frank and Lorraine Krajewski Revocable Trust, Claimant v. Salomon Smith Barney Inc., now known as Citigroup Global Markets Inc. and Eric B. Soiland, Respondents Case Number: 03-05615 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Frank and Lorraine Krajewski Walnut Creek, Califo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Addis, TTEE FOB, Steven Addis Trust DTD 7-28-92, Claimant vs. Robertson Stephens, Inc., FleetBoston Financial Corp. and William Nelson Keller, Respondents Case Number: 03-05361 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael G. Bolgatz, Esq. Law

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred A. Robinson and Julie W. Robinson (Claimants) v. Commonwealth Financial Network, Lenahan Financial, Inc., Lenahan Associates, Inc. and David Robert Lenahan (Respondents) Case Number: 03-04981 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants Fred A. Robinson ("F. Robinson"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Stephen Levenson (Claimant) vs. Buckingham Research Group, Inc. (Respondent) Case Number: 99-03003 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant,Stephen Levenson ("Claimant"): Anju Uchima, Esq., New York, New York. Respondent, Buckingham Research Group, Inc. ("Respondent)": Timothy P. Kebbe, Esq., Uniondale, New York. CASE INFORMATION Statement of Claim fi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Smith and Maria Schluter and John J. Smith IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., George Edward Hagerty, Keith E. Hagerty, and Henry Blodget (Respondents) Case Number: 03-04887 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant John J. Smith ("Smith") a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04598 and 03-04621 Maryann B. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. John F. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. ATTORNEYS: For Claimants, Maryann B. Lamantia and John F. Lamantia, (collectively "Claimants") appeared Ronald E. Lyons, E$q., Rockville, MD. For Respondents, Legg Mason Wood Walker, Inc.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rudolph and Carol Recla (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Alfred Bevilacque (Respondents) Case Number: 03-04473 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Rudolph and Carol Recla ("the Reclas") hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sutro & Co. n/k/a RBC Dain Rauscher, Inc., Claimant v. Ana Blumberg-Markus, Respondent Ana Blumberg-Markus, Counter-Claimant v. Sutro & Co. n/k/a RBC Dain Rauscher, Inc., Counter-Respondent Case Number: 03-04382 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ben Neumann and Andrea Neuman, Claimants v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lisa C. Darin, Matthew C. Mullaly and Henry Blodget, Respondents Case Number: 03-04339 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES For Claimants: Louis Cu

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Dennis M. Zetter Marilyn Zetter Claimants NASD Regulation, Inc. v. No. 96-00591 Charles Schwab & Company, Inc. George H. Reeves Respondents REPRESENTATION OF PARTIES Dennis M. Zetter and Marilyn Zetter ("Claimants") were represented by Randy E. Thomas, Esq., Law Offices of Randy E. Thomas, Stockton, California. Charles Schwab & Com