STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elio and Gina Volta and 03-06310 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Edward A. Koven Samuel Douglas Cornell, in Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Elio and Gina Volta ("Claimants") were represented by James Richard

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward H. Petersen and Margaret A. Petersen, Claimants v. Kirlin Securities Inc. and Zaim Hajdarevic, Respondents Case Number: 03-06307 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondents: Eduardo Rodriguez, Esq. Hooper & Weiss, LLC Orlando, Florida Barry M. Bordestsky, Esq. Kirlin Securities Inc. Syosset, N

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp. of thf PlaiTnants Hasp. Number: 03-06304 Gerald F. Cohen and Harriet C. Cohen Names nf ifrp. PpspondeTits Hearing Site: Baltimore, MD Quick & Reilly, Inc. Christopher W. Durchanek Nature of the Dispute: Customers vs. Member and Associated Person. RF.PttRSF.NTATTOM OF PARTTRS Claimants, Gerald F. Cohen ("G. Cohen") and Harriet C. Cohen ("C. Cohen"), hereinaft

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: DR. JAMES P. DRABO, Claimant, and MORGAN STANLEY DEAN WITTER, INC., ANNE SCHMID, and SCOTT HESEKIEL, Respondents. Case Number: 03-06303 Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimant: James P. Drabo ("Drabo") was represented by William B. Young, Esquire, Hooper & Weiss, LLC, Orlando, Florida. Respondent(s): Morgan Stanley Dea

Award NASD In the Matter of the Arbitration Between: Name of the Claimant SFM Holdings Ltd. Partnership Name of the Respondent Dain Rauscher Incorporated Case Number: 01-0165 7 Hearing Site: Boca Raton, FL REPRESENTATION OF PARTIES For SFM Holdings Ltd. Partnership, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach Gardens, FL. For Dain Rauscher Incorporated, hereinafter referred to as "Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06301 Melvin Stern, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Russell S. Peck, Laurie Ann Mittman, and Andrew G. Guzzetti, Respondents. ATTORNEYS: Claimant, Melvin Stern, ("Claimant"), appeared pro se, Cinnaminson, NJ. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Russell S. Peck, Laurie Ann Mittman, and Andrew G. Guzzetti, (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06298 Danny C. and Tracy A. Meyers, Claimants v. J. Preston Covington and Wachovia Securities, LLC, Respondents. ATTORNEYS: Claimants, Danny C. and Tracy A. Meyers, ("Claimants"), appeared pro se, Danny C. Meyers, Columbia, SC. Respondents, J. Preston Covington and Wachovia Securities, LLC, ("Respondents"), appeared through their in-house counsel, Todd Ratner, Esq., Richmond, VA. NAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alva L. Barry as Trustee of the Alva Barry Revocable Living Trust Names of the Respondents Sands Bros. & Co., Ltd. Ralph Johnson Chris Braccia Jason Russo Case Number: 03-06297 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alva L. Barry as T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) v. Mohammed Khalid (Respondent) Case Number: 03-06291 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc. ("GunnAllen") hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Hauppage, NY. Respondent Mohammed Khalid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Ryan, Claimant v, Ned Michael Shanahan, Bridget Marie Burgess, and SAFECO Investment Services, Inc., Respondents Case Number: 03-06284 Hearing Site: Seattle, Washington Nature of Dispute: Associated Person v. Associated Persons and Member Firm REPRESENTATION OF PARTIES For Claimant: G. Thomas Ryan, Esq. Law Offices of G. Thomas Ryan Puyallup, Washington For Res