Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace DiGangi IRA (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. and Stan Levine (Respondents) Case Number: 03-09115 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Grace DiGangi IRA ("DiGangi") hereinafter referred to as "Claimant": Stephen H. Weiner, Esq., Law Of

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wataru & Helen M. Tanita, individually and as trustees of The Tanita Family Trust and 03-09105 Phoenix, Arizona Name of Respondents UBS Financial Sen-ices Inc. f/k/a UBS PaineWebber, Inc. Ronald R.Willoughby Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Wataru & Helen M. Tanita, individually

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis and Clark College, Claimant v. Blackwell Donaldson & Company, Stephen P. Persad and Joseph M. Blackwell, Respondents Case Number: 03-09096 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Lisa A. Kaner, Esq. David B. Markowitz, Esq. Markowitz Herbold Glade & Mehlhaf,P.C Portl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Gutzan (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Robert J. Cutrupi, and Melanie H. Charron (Respondents) Case Number: 03-09089 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Peter T. Gutzan ("Gutzan") hereinafter referred to as "Claimant": A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph Ventra, Ralph Ventra IRA, Ralph Ventra Roth IRA, Ralph Ventra Trustee U/A DTD 2/24/98, and Ventra Operating Corp. D/B/A Van Gogh Movers (Claimants) v. Merrill Lynch. Pierce, Fenner & Smith, Inc. and James F. Bernard (Respondents) Case Number: 03-09088 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Walter D. Copeland and Concetta M. Copeland (Claimants) v. Salomon Smith Barney and Todd M. Hoffman (Respondents) Case Number: 03-09087 Hearing Site: Buffalo, New York" Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Walter D. Copeland ("W. Copeland") and Concetta M. Copeland ("C. Copeland") hereinafter collectivel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01707 Charles Schwab & Co., Inc., claimant vs. Eve E. Mezey, respondent. ATTORNEYS: For Claimant Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: April 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in her account after a margin call was made. Claim Data C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Michael, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Paul Padovani, Respondents Case Number: 03-09084 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondent Merrill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emmert A, Larkin Company, Inc. (Claimant) v. Anthony Girellini (Respondent) v. Michael Warner (Third-Party Respondent) Case Number: 03-09083 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person (Initial Claim). Associated Person v. Associated Person (Third-Party Claim). REPRESENTATION OF PARTIES Claimant Emmett A. Larkin Company, Inc. ("Emmett'')

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Phillip T. Hoffman Names of the Respondents Asset Management Securities Corp. James M. Barry Case Number: 03-09080 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant Phillip T. Hoffman, hereinafter referred to as "Claimant": John T. Getz, Esq., Law