0-1/30/2004 13:01 FAX NASD REGULATION @ 0 02 NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 03-04980 William C. Evans, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: Claimant, William C. Evans, ("Claimant"), appeared pro se, Bainbridge Island, WA. For Respondent, Citgroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc., ("Respondent")* appeared in-house counsel Ann Parry,

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Jack A. Sunseri Trust, Claimant v. Morgan Stanley DW Inc., Clifford M. Topol, and Salvatore Samperi., Respondents Case Number: 03-04979 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jared R.B. Hutton, Esq. Attorney At Law Los Angeles, California For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terry A. Cooper, Claimant v. Wedbush Morgan Securities Inc., William E. Cessnun, and Charles A. Webb, Respondents Case Number: 03-04976 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Richard D. Brady, Esq. Richard D. Brady, PLLC Tacoma, Washington For Respondents: Judy Louie, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Menard, Denis K. and Dinoo J. Vanier, Andre D. Vanier, Vance K. Vanier, and The V and A Trust, Denis and Dinoo Vanier Trustees, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael J. Maher, Respondents Case Number: 01-01520 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant Barbara J. Menard: For Claimants Denis K. and Dino

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcia F. Cohen, Claimant v. Morgan Stanley DW Inc., Barry M. Speyer, and Jac B. Stulberg, Respondents Case Number: 03-04975 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert B. Hutchinson, Esq. Law Offices of Hutchinson & Snider Beverly Hills, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roselle Gennes and Robert L. Gennes, Roselle Gennes, IRA, Robert L Gennes, IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., Jerome Grossman, Kevin M. Sheerin and Denice Glover (Respondents) Case Number: 03-04968 Hearing Site: New York City, NY Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Roselle Ge

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04965 Helen Ray Bailey & William R. Bailey JTWROS, Claimant v. Kirlin Securities, Inc. and Scott Harris, Respondents. ATTORNEYS: Claimant, Helen Ray Bailey & William R. Bailey JTWROS, ("Claimant"), appeared pro se, Easton, PA. Respondents, (collectively "Respondents"): For Respondent, Kirlin Securities, Inc., ("Kirlin"), appeared in-house counsel, Bradly M. Borodetsky, Esq., Syosset,

I STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Moses Findley and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Brian K. Maxson Case Number: 03-04964 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Moses Findley ("Claimant") was represented by Wm. Jemison Minns, Jr., Levin Papantonio, Thomas, Eschsne

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joe M. Cantu and Name of Respondent Citigroup Global Markets, Inc. Case Number: 03-04963 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm REPRESENTATION OF PARTIES Joe M. Cantu ("Claimant") was represented by Rodney Heggy, Esq., of Heggy & Associates, of Oklahoma City, Oklahoma. Citigroup Global Markets, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Lynda C.Maus Names of the Respondents Prudential Equity Group, LLC Duane R. Rayburn Case Number: 03-04961 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTTFS Claimant, Lynda C. Maus, hereinafter referred to as "Claimant"^ was represented by Harold J. Bender, Esq., Attorney a