Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant F. Kirby Newburger Name of the Respondent Legg Mason Wood Walker, Inc. Case Number: 04-05151 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For F. Kirby Newburger, hereinafter referred to as "Claimant": Benjamin R. Slater, HI, Esq., Lemle & Kelleher, L.L.P., New Orleans, Louisian

Stipulated Award NASD In the Matter of the Arbitration Between Annette Perri, Zinghera Realty Corp. and Jo-Ern Realty Corp. (Claimants v. Donaldson, Lufkin & Jenrette Securities Corp. and Timothy I. Low (Respondents) v. Joseph Perri (Third-Party Respondent) Case Number: 01-01788 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Annette Perri, Zinghera Realty Corp. and Jo-Em Realty Corp. ("Claimants") were represented by David Robb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deborah Stovall and 04-05150 Kansas City, Missouri Name of Respondents Prudential Equity Group, LLC UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. William T. Keen Christopher L. Walker Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Deborah Stovall ("Claimant") was represented by Diane A. N

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v. 04-05148 Minneapolis, Minnesota Respondent Thomas J. Park NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimanf *) was represented by Diane C. Fischer, Esq., of Kane & Fischer, LTD, Chicago, Illinois. Thomas J. Park ("Park"), hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Penny L. and Robert E. Bellinger, Lynda M. Arnold and Daniel Arnold Name of the Respondents David M. Rieck and Sll Investments, Inc. Case Number: 04-05147 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customers vs. Associated Person and Member Firm REPRESENTATION OF PARTIES Claimants, Penny L. and Robert E. Bellinger (the "Bellingers"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05143 Joyce L. Weber Living Trust Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., file/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joyce L. Weber Living Trust, hereinafter referred to as "Claimant": D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05142 Sue A. Koepnick Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., Bk/a. Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sue A. Koepnick, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05137 National Securities Corporation, (Claimant) vs. Robert Nelson, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not respond to the Statement of Claim, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person " DATE FILED: July 14, 2004 CASE SUMMARY: Claimant alleg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05136 S. W. Bach & Company, Claimant v. Kent Martin, Respondent ATTORNEYS: For Claimant S. W, Bach & Company ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Kent Martin ("Martin") appeared pro se, Far Rockaway, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 16, 2004. CASE SUMMARY: Claimant all

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arnold A. Farris and Names of Respondents Multi-Financial Securities Corporation, Sanders Morris Harris, Inc., and Bert Earl Miller, Jr. Case Number: 04-05125 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Arnold A. Farris ("Claimant") was represented by Brian E. Bro,