STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Keith Lewis Robinhood Holdings, Inc. Names of Respondents Prudential Securities, Inc. Michael Newton Case No, 01-01690 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Keith Lewis ("Lewis") and Robinhood Holdings, Inc ("Robinhood"), hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Plantat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06503 Stanley G. Stroyls and Donna M. Stroyls, JTWROS Stanley G. Stroyls, IRA Donna M. Stroyls, IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubrnan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Laura Wasserman and Irving Wasserman, Trustees f7b/o Laura Wasserman Living Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a. Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-06502 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephen and Melissa Godfrey and 03-06499 Kansas City, Missouri Name of Respondents TD Waterhouse Investor Services, Inc. Sunflower Asset Management Inc. Joseph N. Kain Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Stephen and Melissa Godfrey ("Claimants") were represented by Roger N. Walte

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06495 Laurence Piigeram TTEE FBO Pilgeram Trust, Claimant v. The GMS Group, LLC, and Quincy Brown, Respondents. ATTORNEYS: Claimant, Laurence Pilgeram TTEE FBO Pilgeram Trust, ("Claimant"), appeared pro se, Goleta, CA. Respondents, (collectively "Respondents"): For Respondent, The GMS Group, LLC, ("GMS"), appeared Jennifer Woods Burke, Esq., of the firm Lubiner & Schmidt, Cranford, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Robert L. Graef (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc,, Raymond Miranda, and Bank One Columbus, N.A. (Respondents) Case Number: 03-06490 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant The Estate of Robert L. Graef ("The Estate") hereinafter referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean D. Saponaro IRA f/k/a James Saponaro IRA (Claimant) v. Advest, Inc. and Michael T. Creadon (Respondents) Case Number: 03-06486 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jean D. Saponaro IRA f/k/a James Saponaro IRA ("Saponaro") hereinafter referred to as "Claimant": Anthony J.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Miller, Jr., Patricia Miller, Linda Miller, and Linda Miller as Custodian of the Linda Miller IRA (Claimants) v. William E. James, n and Legg Mason Wood Walker, Inc., (Respondents) Case Number: 03-06484 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Roger Miller, Jr. ("R, Miller

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail M. Kessinger, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Scott Salmon, Respondents Case Number: 03-06483 Hearing Site: Portland. Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard M. Layne, Esq. Layne & Lewis, LLP Portland, Oregon For Respondents: Curt Roy Hineline, Esq. D

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marlene L. Young and 03-06480 Phoenix, Arizona Name of Respondents Invest Financial Corporation Roberta J. Kelly Mary Jane Perkins Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Marlene L. Young ("Claimant") was represented by David C. Anson, Esq., Anson, Lammers & Barkley, P.C., The Foo