Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Edward Lehman Name nf the Respondents Citigroup Global Markets Inc. Barry S. Green r.aseNiimher 03-09186 Hearing Site- New York, New York Nature of the Dispute: Customer vs. Member and Associated Person; KFPRF.SF.NTATTON OF PARTTFS Claimant, Edward Lehman, hereinafter referred to as "Claimant," was represented by James E. Miller, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09185 David E. Ball, IRA Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David E. Ball, IRA, hereinafter referred to as "Claimant": Jeffrey P. Coleman, Esq., Coleman Law Firm, Clearwater, Florida. For Raymond James Fina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 01-01717 BenTreff Names nf the Respondent Hearing Site- Philadelphia, PA National Clearing Corp. F/k/a J.B. Oxford & Company Christopher J. Urner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Ben Treff, hereinafter referred to as "Claimant", was represented at the hearing by Mic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09182 Jimmy Dan Kilgore Name of the Respondent Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Citigroup Global Markets, Inc., d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jimmy Dan Kilgore, hereinafter referred to as "Claimant": R

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mildred Soret Name of the Respondent Merrill Lynch, Pierce, Fermer & Smith, Inc. Case Number: 03-09181 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mildred Soret ("Soret"), hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman, Link & Sartory, P.A., West Palm Beac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Nfame of the f!1aimant LeLand LaFevre "Marries of the Respondents Ehrenkrantz King Nussbaum, Inc. Irwin Nussbaum Joan Mary King Michael Evan Sackstein Christopher John Rocco Santanelli Anthony Koulouris rase Number 03-09180 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Persons. RF.PRFSFNTATIO1V OF PARTTFS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of John Cart, Richard D. Carl, Executor, Claimant v. Morgan Stanley DW, Inc. and Cory A. Fraraccio, Respondents Case Number:- 03-09177 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Richard D. Carl, Executor for the Estate of John Carl ("Carf), here

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jeffrey Scott Lewis v. 03-09176 Denver, Colorado Respondent Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES Jeffrey Scott Lewis ("Claimant") was represented by Kirk George Smith, Esq., of Shepherd Smith & Edwards, L.L.P., Houston, Texas. Prudential Equity Group, LLC, f7k/a Pru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Pokonosky, Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Bernard S. Blotner, and Bruce R. Shanks, Respondents Case Number: 03-09163 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel Bren, Joel Bren IRA, Jack Bren Family Trust, and Bren Family Trust (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Adele Barrett (Respondents) Case Number: 03-09159 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joel Bren ("J. Bren"), Joel Bren IRA ("J. Bre