AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Clifford J. Meads and Linda M. Meads and Names of Respondents Securities America, Inc. and Duane M. Russell Case Number: 04-05124 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE ,. Customers v. Member and Associated Person REPRESENTATION OF PARTIES Clifford J. Meads and Linda M. Meads ("Meads" or "Claimants") were represented by Siegfrie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Karpilovsky and the Mark Karpilovsky Family Trust, (Claimants) vs. Herzog, Heine, Geduld, Inc., Track Data Securities Corp., Track Securities Corp., Track Data Corp., Jack Spiegelman, and Barry I. Hertz, (Respondents) Case Number: 01-01787 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Mark Karpilovsky ("Karpilovsky") and the Mark Karpilovsky Family Trust

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05119 Howard L. Dinsmore Carolyn G. Dinsmore Name of the Respondent Hearing Site: Boca Raton, Florida McDonald Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard L. Dinsmore and Carolyn G. Dinsmore, hereinafter collectively referred to as "Claimants": David P. Meyer, Esq., Meye

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05119 Howard L. Dinsmore Carolyn G. Dinsmore Name of the Respondent Hearing Site: Boca Raton, Florida McDonald Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard L. Dinsmore and Carolyn G. Dinsmore, hereinafter collectively referred to as "Claimants": David P. Meyer, Esq., Meyer & Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05114 Donald J.Dudley IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald J. Dudley IRA, hereinafter referred to as "Claimant": Douglas H, Glicken,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05112 Brian Halifax Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brian Halifax, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Douglas H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Frank M. Sims, Jr., as Trustee of the Sims Charitable Remainder Trust, Frank McNair Sims IRA, Donald Wild IRA, Harriet Wild IRA, and Bruce T. Stubbs, M.D. 401K and Respondents McDonald Investments, Inc., and UBS Financial Services, Inc. ____ Case Number: 04-05109 Hearing Site: Detroit, Michigan Customers v. Members NATURE OF DISPUTE REPRESENT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James Financial Services, Inc. and 04-05106 Nashville, Tennessee Name of Respondent Jimmie Duane Ross Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Raymond James Financial Services, Inc. ("Claimant") was represented by Leslie A. Reese, Esq., Raymond James Financial Services, Inc., St. Petersburg, Florida. J

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Barbara N. Simmons v. 04-05104 Minneapolis, Minnesota Respondent RBC Dain Rauscher, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Barbara N. Simmons ("Claimant") was represented by F. Chet Taylor, Esq., of Meikle & Taylor, P.A., Minneapolis, Minnesota. RBC Dain Rauscher, Inc. ("Respondent'*) was represented by Melissa Rapha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moutz Soudani (Claimant) v. HSBC Brokerage (USA), Inc. 17k/a Marine Midland Securities (Respondent) Case Number: 04-05101 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Moutz Soudani hereinafter referred to as "Claimant" appeared pro se. Previously represented by William Paul Nolan, Esq., The Nolan Firm, New York, NY