Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06454 Adrian G. Magrath Trust Names of the Respondents Hearing Site: Boca Raton, FL 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 Adrian G. Magrath Trust ("Magrath*'), hereinafter referred to as "Claimant"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01686 Multi-Financial Securities Corporation, claimant vs. James J. Albright, respondent. ATTORNEYS: For Claimant appeared Jennifer L. Carr, Esq, of the firm Rothgerber Johnson & Lyons, LLP, Denver, CO. Respondent appeared Pro Se, Racine, WI. DATE FILED: April 4, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment contract when he failed to repay an unsec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Henry G. Schwartz Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 03-06453 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Henry G. Schwartz, hereinafter referred to as "Claimant": Douglas H. G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06451 Paul R. and Joan T. Davis Names of the Respondents Hearing Site: Philadelphia, PA Richard F. Hughes, Jr. Hudspeth/Browne Group Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Associated Person, Non-Member and Member REPRESENTATION OF PARTIES Claimants, Paul R. and Joan T. Davis, here

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between . Name of Claimants Ervin General Partnership, Dennis Smith, M.D. and Julie Benner Smith, Edward and Camille Underwood, Eric and Karen Saul and L. Lee Lancaster, M.D. and 03-06449 Nashville, Tennessee Name of Respondents J.J.B. Hilliard, W.L. Lyons, Inc. LeLand Shawn Breskow Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-06448 Country Club Financial Services, Inc., and Country Club Bank Name of the Respondent Hearing Site: Kansas City, Missouri Jeffrey L. Cole NATURE OF THE DISPUTE Member Firm and Non-Member Firm v. Associated Person REPRESENTATION OF PARTIES John D. Dunbar, Esq., of the firm Daniels & Kaplan, PC, with offices located in Kansas C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Carolyn McBride v. 03-06447 Minneapolis, Minnesota Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Dearl Hemphill Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Carolyn McBride ("Claimant") was represented by Wm. Jemison Mimms, Jr., Esq., of Levin Papantonio, Thomas, Eschner & Proctor, P.A., Pens

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John Stoyka, Sr., Suzanne Willenborg, and Barbara Medeiros v. Respondent/Third-Partv Claimant TD Waterhouse Investor Services, Inc. v. Third-Party Respondent Bonnie Stoyka Case Number: 03-06445 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member v. Non-Member and Member v. Non-Member REPRESENTATION OF PARTIES John Stoy

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ruth Brewer v. 03-06444 Denver, Colorado Respondents Raymond James Financial Services, Inc. and Lawrence M. Jones Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Ruth Brewer ("Claimant") was represented by Robert A, Lees, Esq., of Robert A. Lees & Associates, Denver, Colorado. Raymond James Financial Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Victoria Alexandra Ueltschi Ueltschi Enterprises James Tyler Ueltschi James Tyler Ueltschi, Jr. James Tyler Ueltschi, Jr. Trust Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 03-06441 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Asso