Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05479 George C. Tunis Mary V. Tunis George C. Tunis III as Trustee for the Tunis Family Trust (Irrevocable) dated 2/29/00 Name of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets f/k/a Salomon Smith Barney Joseph S. Jones Christopher David Sinkula Nature of the Dispute: Customer vs. Member and Associa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry S. Schwartz (Claimant) v. Nathan & Lewis Securities, Inc., Walnut Street Securities, Inc., MetLife Securities, Inc., Robert N. Martz, Roger Pacheo II, and Alexander Brackman (Respondents) Case Number: 03-05478 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Larry S. Schwartz ("S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case No. 01-01581 Powell Fisher Names of Respondents Wheat, First Securities, Inc. William H. Rogers Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Powell Fisher, hereinafter referred to as "Claimant": Reynolds Williams, Esq. and Mark Buyck, Esq., Wilcox, Buyck & Williams, P.A., Florence, South Carolina. For Wheat, Fi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05471 William Masters IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, William Masters IRA, ("Claimant"), appeared William Jemison Mims, Esq., of Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respwclent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie L. Wilson, of Maynard, Cooper &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean C. Twomey (Claimant) v. Mallory Capital Group, LLC and A. Conrad Weymann, III (Respondents) and Terence M. Crikelair (Claimant) v. Mallory Capital Group, LLC, and A. Conrad Weymann, III (Respondents) and Christopher H. Aidone (Claimant) v. Mallory Capital Group, LLC, and A. Conrad Weymann, III (Respondents) Case Number: 03-05469 (consolidated w/03-04660 and 03-06094

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Damon Vickers (Claimant) vs. Westminister Financial Securities, Inc., James P. Nunez, Michael Lieb, Robert Davidson, Jr., Christopher John Broderick, and Lawrence Miles Brazie (Respondents) Case Number: 03-05466 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Damon Vickers ("Claimant")

I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Myrna M. Bourbigot (Claimant) v. VeraVest Investments, Inc. formerly Allmerica Investments, Inc., James L. Weimar, Jr., William N. Hytner, Stuart Silverman, and Kenneth Dimicco (Respondents) Case Number: 03-05461 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Myrna M. Bourbigo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05454 Warren Markovits, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimant, Warren Markovits, ("Claimant"), appeared pro se, Phoenix, AZ. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., ("Respondent"), appeared through their in-house counsel, Ann Parry, Esq., New York, NY. NATURE OF DISPUTE: Customer v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Eric D. Hough Name nf the Respondent Merrill Lynch Pierce Fenner & Smith, Inc. r 03-05452 Hearing Site: Charlotte, North Carolina. Nature of the Dispute: Customer vs, Member. RRPRF.SFNTATTON OF PAKTIRS Claimant, Eric D. Hough, hereinafter referred to as "Claimant", was represented by Wm. Jemison Mims, Jr., Levin, Papantonio, Thomas, Mitchell, Ech

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Bassin, Slava Volman, Marc Freeman, David Stetson, Frank Ingrassia, and Steven Ingrassia (Claimants) v. Donald & Co. Securities, Inc., THCG, Inc., Stephen Blum, Anthony Pontecorvo, Correspondent Services Corporation, Inc., Efren Cleofe, Michael Dura, Robert Basso, UBS Financial Services, Inc. f/k/a UBS Paine Webber, Inc., and Tejas Securities Group, Inc. (Respondents) Case Numb