Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fh* riaimant fj»sft Nnmher- 03-03252 Carolyn C. Tyson Names of the Respondents Hearing Site: Raleigh, NC Triad Advisors, Inc. Richard A. Corley Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Carolyn C. Tyson, hereinafter referred to as "Claimant", was represented by Andrew O. Whiteman, Esq., Hartzell & Whitema

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03245 Gertrude Lillian Berndt, Claimant v. Susan R. Youngsman, Respondent. ATTORNEYS: Claimant, Gertrude Lillian Berndt, ("Claimant"), appeared pro se, Seattle, WA. * \ For Respondent, Susan R. Youngsman, ("Respondent"), appeared Kavita Amar, of the firm Davis Wright Tremaine LLP, Seattle, WA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 2, 2003 CASE SUMMARY

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration between Names of Claimants Luther H. Soules III and The Luke Merle Soules Family Foundation and Case Number: 03-03240 Hearing Location: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Asset Management, Merrill Lynch Investment Managers, LP, and Tony D. Boykin NATURE OF DISPUTE Claimants v. Member Firm, Non-Memb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants LGG Enterprises d/b/a USA Auto Collision Center d/b/a USA Auto Collision CTR and Lorenzo Gonzalez and Case Number: 03-03238 Hearing Site: Houston, Texas Name of Respondent Prudential Equity Group, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES LGG Enterprises d/b/a USA Auto Collision Center d/b/a USA Auto Collision CTR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-03234 Anthony L. Arakkal and Bridget Arakkal, Name of the Respondents Hearing Site: St. Louis, Missouri Citigroup Global Markets, Inc., Richard J. Conway, Robert A. Wilson and Sandford I. Weill Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Anthony L. and Bridget Arakkal (the "Arakkals"), her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Citigroup Global Markets, Inc. f/k/a/Salomon Smith Barney, Inc. Name nf the Respondents John S. Kuhn, Sr. and Wachovia Securities Financial Network Case Number: 03-03230 Hearing Site: St. Louis, Missouri NATTTttl? OF mSPTTTF. Member Firm vs. Member Firm and Associated Person OF PAKTTFS Charles A, Siege], HE, Esq. of the law firm Seigel &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary H. Coleman, (Claimant) v. Michael D. Mathias, Interstate Financial Group, Inc., Gerald S. Berger, Gerald S. Berger, Inc. and National Planning Corp. (Respondents). Case Number: 03-03229 Hearing Site: New York, NY Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mary Coleman ("Claimant") hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01285 J.B. Hanauer & Co., claimant vs. Shawn Johansen, respondent. ATTORNEYS: For Claimant appeared Alexander J. Anglim, Esq., of the firm Lowenstein Sandier PC, Roseland, NJ. For Respondent appeared Paul D. Anders, Esq., of the firm LeClair Ryan PC, Richmond, VA. DATE FILED: March 15, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay his pro-rata share of an arb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell Alan Rossier, Claimant v. Morgan Stanley Dean Witter & Co. and Cheryl Gerard, Respondents Case Number: 03-03228 Hearing Site: San Francisco, California Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David P. Warren, Esq. Law Offices of David P. Warren San Luis Obispo, California For Respondents: Kev

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03225 Angelo DePergola and Maureen DePergola, Claimants vs. Raymond James & Associates, Inc., and Phylis Boksen, Respondents. ATTORNEYS: ~ " " ~ " Claimants appeared pro se, New Port Richey, FL. For Respondents appeared in-house counsel, Rick A. Buchwalter, Esq., St. Petersburg, FL. DATE FILED: May 1, 2003 CASE SUMMARY: Claimant alleged that Respondents were negligent