Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nejet Polat (Claimant) v. Citicorp Investment Services, Inc. (Respondent) Case Number: 03-05837 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nejet Polat ("Polat") hereinafter referred to as "Claimant" appeared pro se. Respondent Citicorp Investment Services, Inc. ("CIS") hereinafter referred to as "Respondent": D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nfthe Wilbum C. and Cynthia G. Slagle Names nf the Respondents Jonathan Roberts Financial Group, Inc. John David Turner John R. Carlson Tilchen Asset Management Case Number: 03-05830 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Terminated Member, Non-Member, and Associated Person. RRPRP.SRNTATTON OF PARTIES Claimants,

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen K. Mitchell, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 03-05826 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Michael Audley, Esq. Law Office of Audley & Audley Berkeley, California For Respondent: William A. Hohauser, Esq. Ky Fullert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas L. Redman and Jana L. Redman, Claimants v, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 03-05822 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: Wm. Jemison Mims, Jr., Esq. Levin, Papantonio, Thomas Mitchell, Echner & Proctor Pensacola,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jack Siano, Jack Siano and Jeannie Siano, JTWROS Names of the Respondents Investacorp, Inc. Dominick Tavella Case Number: 03-05820 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jack Siano, Jack and Jeannie Siano, JTWROS, hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Rathbun and Erma Herrick, Claimants v. Paul S. Alexander and Ladenburg, Thalmann & Co., Inc., Respondents Ladenburg, Thalmann & Co., Inc., Counter-Claimant v. Gary Rathbun, Counter-Respondent Ladenburg, Thalmann & Co., Inc., Cross-Claimant v. Paul S. Alexander, Cross-Respondent Case Number: 03-05813 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and A

NASD DISPUTE RESOLUTION AWARD In the Matter of the Arbitration Between Name of Claimant Jerry I. Gilliland and 03-05803 Dallas, Texas Name of Respondent Sid Lorio, Linsco Private Ledger Corp., Linsco Private Ledger Financial Services a/k/a LPL Financial Services NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person PARTIES AND THEIR REPRESENTATIVES Claimant: Claimant, Jerry I Gilliland ("Claimant") was re

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia J. Webb, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kieran T. Maloney, Respondents Case Number: 03-05797 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01612 GKN Securities Corp., claimant vs. Andrew McFarquhar, respondent. ATTORNEYS: For Claimant: Michael S. Colombo, Vice President, New York, NY. Respondent appeared pro se, Jersey City, NJ. DATE FILED: April 2, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement when he failed to repay monies due as set forth in a Promissory Note. Claim Data

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marshall Field, Claimant v. Passport Securities, Inc., Mark A. d'Ercole and Carol A. Petrarca, Respondents Case Number: 00-00746 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respon