STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chloe Kerns Edge TRS/Chloe Edge TR, Claimant v. Miller & Schroeder Financial, Inc. and Scott T. Penwarden, Respondents Scott T. Penwarden, Third-Party Claimant y. MM&S Financial, Inc. s James E. Iverson, Jerome A. Tabolich, Edward J. Hentges, Kenneth R. Larsen, Steven W. Erickson, Paul R. Ekholm, James F. Dlugosch, Joseph K. Halloran, Kenneth E. Dawkins, Thomas S. Nelson, James

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07521 George H. Dornblazer MD, PA FBO George H. Dornblazer PSP, Claimani v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, George H. Dorablazer MD, PA FBO'George H. Dornblazer PSP, ("Claimant"), appeared Win. Jamison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsncr & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pier

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lana DeGeorge and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael A. Bertuzzi Case Number: 03-06869 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Lana DeGeorge ("Claimant") was represented by Hector G. Longoria, Esq., Heard, Rob

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis A. D'Auria Charitable Remainder Trust, Michael D'Auria, Dawn D'Auria Charitable Remainder Trust (Claimants) vs. Commonwealth Financial Network, Heritage Advisors Inc., and Stephen F. White (Respondents) Case Number: 03-06812 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Louis A. D'A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06699 Leonard Tatore & Jean C. Tatore JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Leonard Tatore & Jean C. Tatore JTWROS, ("Claimants"), appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P.A., Orlando, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomo