Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fabtola Romero Name of the Respondents Jefferson Pilot Securities Corporation and Andrew P. Weis Case Number: 03-06437 Hearing Site: Albuquerque, New Mexico KATI I niftPI ITF Customer vs. Member Firm and Associated Person PARTIFS Bill Panagakos, Esq. of The Panagakos Law Firm, P.C., located in Santa Fe, New Mexico, represented Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06435 UBS Financial Service, Inc., f/k/a UBS PaineWebber, Inc., Claimant v. Designer Tile and Stone, Inc., Respondent. ATTORNEYS: For Claimant, UBS Financial Service, Inc., f/k/a UBS PaineWebber, Inc., ("Claimant"), appeared Melanie S. Cherdack, of the firm Genovese, Joblove & Battista, P.A., Miami, FL. Respondent, Designer Tile and Stone, Inc., ("Respondent"), did not enter an appearance in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rodney Kinsey, Donna Kinsey, and the Rodney M. Kinsey M/P/P Trust, (Claimants) vs. Joseph Erwin, National Financial Services, LLC, Eisner Securities, Inc., Neil Eisner, and Bruce Oakes, (Respondents) Case Number: 01-01681 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimants, Rodney Kinsey ("R. Kinsey"), Donna Kinsey ("D. Kinsey"), and the Rodney M. Kinsey M/P/P Trust

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert W. Baird & Co., Inc. and 00-00755 Detroit, Michigan John R. Alles REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Claimant") was represented by Thomas W. Weibel, Esq., Smith Haughey Rice & Roegge, Grand Rapids, Michigan. John R. Alles ("Respondent") was pro se. CASE INFORMATION The Statement of Claim was filed on or about February 17, 2

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06434 Carl S. Morberg IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: For Claimant, Carl S. Morberg IRA, ("Claimant"), appeared Stuart D. Meissner, Esq., of the firm Stuart D. Meissner, LLC, New York, NY. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., ("Respondent"), appeared through its in-house counsel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard W. Dorman IRA, Barbara K. Roman IRA, Richard W. Dorman as Trustee for the Defined Benefit Plan, Richard W. Dorman and Barbara K. Roman JTTEN, Richard W. Dorman and Barbara K. Roman Marital Trust, Barbara K. Roman Family Trust U/A, Richard W. Dorman Family Trust U/A, TRS of Meyers Latnanna & Roman 401K (Claimants) v. Sagemark Consulting, Lincoln Financial Advisors Corporation, an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jesse R. Ragan and Norma Ragan vs. 03-06429 Nashville, Tennessee Respondents Legg Mason Wood Walker, Inc. and Gary S. Jameson REPRESENTATION OF PARTIES Jesse R. Ragan and Norma Ragan ("Claimants") were represented by Alix Coulter Cross, Esq., Harwell Howard Hyne Gabbert & Manner, PC., Nashville, Tennessee. Legg Mason Wood Walker, Inc. ("Legg Mason") and Gary

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charlotte and Leigh Winslow and Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., David Harkins and Ronnie McClellan Case Number: 03-06424 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Charlotte and Leigh Winslow ("Claimants") were repres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James A. Baumhart Names of the Respondents CitigroUp Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman Case Number: 03-06423 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James A. Baumhart, hereinafter referred to as "Claimant": Adam S. Do

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher, Inc., Claimant v. Thomas E. Fife, Respondent Thomas E. Fife, Counter-Claimant v. RBC Dain Rauscher, Inc., Counter-Respondent Case Number: 03-06417 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person; Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Kim Ruckdaschel-Haley, Esq. Lindquist