Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05410 Vincent S. Lucido IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Todd M. Hoffman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vincent S. Lucido IRA, hereinafter referred to as "Claimant": Edwin B. Kagan, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monica Teitelbaum and The Freda Teitelbaum Revocable Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Jeffrey M. Stikes and Arthur J. Matney, Respondents Case Number: 03-05407 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' i Name of Claimant f Paul D. Corsaro and 03-05406 Phoenix, Arizona Name of Respondents i Morgan Stanley DW Inc. Jeffrey C. Won • Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Paul D. Corsaro ("Claimant") was represented by Christopher Lonn, Esq., Owens & Perkins, PC, Scottsdale, Arizona. Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fir- 03-05403 Robert T. Weber nf frp ^f.gpfm^pflt fi ffpifn-jng ftitft* Dallas, Texas UBS Financial Services Inc.; George W. Lollis; and Rose M.Thompson Public Customer v. Member Firm and Associated Persons Claimant Robert T. Weber, hereinafter referred to as "Claimant": E. Steve Watson, Esq., located in Carrollton, Texas. Respondents UBS Financial Services,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01564 Prudential Securities Incorporated, Claimant vs. Howard Leon, Respondent. ATTORNEYS: For Claimant appeared Steven Gomberg, Esq., of the firm Rooks, Pitts & Poust Chicago, IL. Respondent did not submit an answer to the Statement of Claim. DATE FILED: March 29, 2001 CASE SUMMARY: Claimant alleged that Respondent breach their contractual agreement and failed to repay a promissor

Stipulated Award NASD Dispute Resolution MARY K. ALLEN AND VALTON E.ALLEN Claimants, vs. KARL LINDEKUGEL, m and MERRILL LYNCH, PIERCE FENNER & SMITH, INCORPORATED, Respondents. § § § § § § § § § § § § NASD Case No. 03-05402 LOCATION: DALLAS, TEXAS NATTTRT? OF TTTF HTSPTTTT? Public Customers v. Member Firm and Associated Persons OF PAttTTFS Claimants Mary K. Allen and Valton E. A

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Awatif Khouri and Names of Respondents Northern Trust Securities, Inc., The Northern Trust Company, Inc., and Kristin Kotsakis Case Number: 03-05401 Hearing Site: Chicago, Illinois MATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Awatif Khouri ("Claimant") was represented by David A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Claimant Case Number: 03-05399 Christine M. Power, Trustee for the Christine M. Power Trust Name of the Respondents Hearing Site: St. Louis, Missouri Laura J. Miller, Maurice E. Quiroga, Bane of America Investment Services, Inc. and Carrie E. Genovese MATIIPF OF nigPI ITF Customer vs. Member Firm and Associated Persons PPPPFRFMTATIOM OF PAPTIFS Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant f!ase Number- 03-05397 RuthB.Ostroff Name nf the Respondents Hearing Site- Philadelphia, PA Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC and J. Scott Miller Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimant, Ruth B. Ostroff, hereinafter referred to as "Claimant", was represented by S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant: Case Number: 03-05396 J.J.B. Milliard, W.L. Lyons, Inc. Name of Respondent- Rearing Site: Raleigh, North Carolina Randy Driskill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTTFS Claimant, JJ.B. Milliard, W.L. Lyons, Inc., hereinafter referred to as "Claimant", was represented by Matthew J. Morelli, Ulmer & Berne LLP,