NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05316 John M. Watson and Frankie Sharon Watson, Claimants v. USAllianz Securities, Inc. and Jon Patrick Bourg, Respondents. ATTORNEYS: For Claimants, John M. and Frankie Sharon Watson, ("Claimants"), appeared Herbert E. Pounds, San Antonio, TX. Respondents, collectively known as "Respondents": For Respondent, USAHianz Securities, Inc., ("USAHianz"), appeared Catherine A. McEnroe, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Reva Ostrow (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Citigroup Global Markets, Inc. fiTc/a Salomon Smith Barney, Inc., and Sandy Toochin (Respondents) Case Number: 03-05313 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Reva Ostrow ("Ostrow") hereinafter referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Manfred Arens and Margret Arens (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Adrian Mahoney (Respondents) Case Number: 03-05312 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Manfred Arens ("Manfred Arens") and Margret Arens ("Margret Arens") hereinafter collectiv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Simon Flaherty and Mary Flaherty (Claimants) v. A.G. Edwards & Sons, Inc. and Kerry Constantine Geaneas (Respondents) Case Number: 03-05307 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Simon Flaherty ("S. Flaherty") and Mary Flaherty ("M. Flaherty") hereinafter collectively refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th*> Claimant Paul Friedberg Names nf the Respondents Citigroup Global Markets, Inc. Jack B. Grubman 03-05302 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRRSFNTATTON OF PARTIES Claimant, Paul Friedberg, hereinafter referred to as "Claimant", was represented by Michael B. Lynch, Esq., Hooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David L. Weitzman IRA (Claimant) v. Citigroup Global Markets, Inc. f^k/a Salomon Smith Barney, Inc. and Jack B. Grubnian (Respondents) Case Number: 03-05298 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David L. Weitzman IRA ("Weitzman") hereinafter referred to as "Claimant": Michael B. Lynch

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Andrea Enterprises, LLC and Andrea Claire Wagenhals and 01-01549 Phoenix, Arizona Name of Respondent US Bancorp Piper Jaffray Inc. REPRESENTATION OF PARTIES Andrea Enterprises, LLC and Andrea Claire Wagenhals ("Claimants") were represented by Rosemary J. Shockman, Esq., Shockraan Law Offices, P.C., Scottsdale, Arizona. US Bancorp Piper Jaffray Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carolyn Coombes IRA, and Derek W. Coombes IRA (Claimants) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-05296 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Carolyn Coombes IRA ("C. Coombes"), and Derek W. Coombes IRA ("D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seymour L. Pollack (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (Respondents) Case Number: 03-05295 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Seymour L. Pollack ("Pollack") hereinafter referred to as "Claimant": James Richard Hooper, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Leon H. Toups, Jr., IRA Names of the Respondents Citigroup Global Markets, Inc., f7k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 03-05294 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leon H. Toups, Jr., IRA, hereinafter referred to as "Claimant": Mic