Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hsiao-Chen J. Chung (also known as Jennifer Chung), Claimant v. Hendraprawira Iskandar, Michael R. Guerra, Sr., Jason B. Sinclair and Morgan Stanley DW Inc., Respondents Case Number: 03-04093 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy D. Murphy, Esq. Law Offices of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alvin and Barbara Filatski, Claimants, v. Salomon Smith Barney, Inc. (n.k.a. Citigroup Global Markets, Inc.), Harlan Van Vooren, Thomas Gibbens, Jack Grubman, Kevin McCaffrey, Michael Carpenter, and Eduardo Mestre, Respondents Case Number: 03-04092 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons ' ' ( REPRESEN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04089 Cliff S. Huang, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Joe L. Tackitt, Jr., Respondents. ATTORNEYS: Claimant, Cliff S. Huang, ("Claimant"), appeared pro se, Tai Hang, Hong Kong, China. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Joe L. Tackitt, Jr., ("Respondents"), appeared through their in-house counsel, Ann

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Richard Angelotti Edward Rosenberg Names of the Respondents Herbert Bregg Gloria Bregg Case Number: 03-04086 Hearing Site: Tampa, Florida Nature of the Dispute: Associated Persons vs. Customers. REPRESENTATION OF PARTIES For Claimants Richard Angelotti ("Angelotti 11 ) and Edward Rosenberg ("Rosenberg"), hereinafter c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nellie M. Spegele Names of the Respondents Prudential Securities Incorporated, Niles Jester, Brian Cline and Mitch Alford Case Number: 03-04085 Hearing Site: Orlando, Florida. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nellie M. Spegele, hereinafter referred to as "Claimant": Bernard H. Dempsey

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Huguette Turler Arndt Alain Turler Name of the Respondent Salomon Smith Barney Case Number: 03-04084 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Huguette Turler Arndt and Alain Turler, hereinafter collectively referred to as "Claimants": Scott J. Link, Esq. and Ryon M. McCabe, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of J. Edward Allen, Sally Jo Wiley, and Max Allen (Claimants) v. J.J.B. Milliard, W.L. Lyons, Inc., Keith F. Knight, and Sara B. McVey (Respondents) Case Number: 03-04079 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Persons, REPRESENTATION OF PARTIES Claimants The Estate of J. Edward Allen ("The Estate of J. Edward Allen"), Sally

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between * "Crainiant7T!ourT^ ~-~"~ I " TT -"™——,- T __-„„_„_™___ TO _™ Kevin R. Davidson v. 03-04076 Minneapolis, Minnesota Respondent / Counter-Claimant Oak Ridge Financial Services Group, Inc., f/k/a Equity Services Investments, Inc. i Nature of Dispute: Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Charles and Donelda Chrispell and 03-04075 Phoenix, Arizona Name of Respondents Salomon Smith Barney Inc. n/k/a Citigroup Global Markets, Inc. Mark Paul Callahan William Joseph Crowe Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Charles and Donelda Chrispell ("Claimants") were represented

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between . Name of Claimants Safwan Barakat, Sally A. Barakat, Jamal Barakat UTMA/IL, and Omar Barakat UTMA/IL and 03-04072 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. RajeshBhatia Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Safwan Barakat, Sally A. Barakat, Jamal Barakat UTMA/I