Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Robinson and Janet E. Robinson (Claimants) v. Capital Securities of America, Inc., K. Michael Nunley, and B. Anne Zimmer-Graffice (Respondents) Case Number: 03-03064 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Robert W. Robinson and Janet E. Robinson (the "Robinsons") and Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald E. Newton (Claimant) v. Quick & Reilly, Inc. (Respondent) Case Number: 03-03063 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Ronald E. Newton ("Newton") hereinafter referred to as "Claimant": Susan Hughes Banning, Esq., Hemenway & Barnes, Boston, MA/ Respondent Quick & Reilly, Inc. ("Quick &

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jamileh Darafshian, Trustees FBO Hossein & Jamileh Darafshian Revocable Trust U/A/D 8/9/01, Tahmineh and Tahereh Darafshian, Joint Tenants With Rights of Survivorship, Claimants v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc., Wedbush Morgan Securities Inc., Richard A. Lanni, Charles T. Kuechler, William M. Noonan, Lee A. Tripodi, and Patrick W. Kearney,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants John E. Archibold and Mary 0. Archibold Trust, John E. Archibold Trust, Mary E. Ogelsby Archibold Trust, Mary E. Ogelsby Archibold IRA, John E. Archibold IRA and 01-01262 Denver, Colorado Name of Respondents Investment Management Consultants, Ltd. and Richard L Behr REPRESENTATION OF PARTIES John E, Archibold and Mary 0. Archibold Trust, Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rudi Zubere, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Respondent Case Number: 03-03056 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Val D. Hornstein, Esq. Hornstein Law Offices San Francisco, California For Respondent: Johnathan Wehle, Esq. Office of General Counsel Merrill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Adler Family Trust dated 5/25/98, Claimant v. Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.) and Richard H. Selig, Jr., Respondents Case Number: 03-03055 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: George S. Trevor, Esq. Trevor & Weixel LLP Corte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03054 Krishna C. Tripathi, Individually and as Trustee of the Krishna C. Tripathi Trust Usha R. Tripathi, Individually and as Trustee of the Usha R. Tripathi Trust Names of the Respondents Hearing Site: Tampa, FL A.G. Edwards & Sons, Inc. Securities America, Inc. Greg Sutfin John Romano Nature of the Dispute: Cust

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ella Joan Replogle, Trustee of the Replogle Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert A. Bos Case Number: 03-03051 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ella Joan Replogle, Trustee of the Replogle Trust, h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03049 Michele D'Amour and Anthony Fleming JNT James L. Jones Darlene Jones Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Dan Hess Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michele D'Amour and Anthony Fleming JNT, James L. Jones and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Frederick Scharer v. Case Number: 03-03044 Minneapolis, Minnesota Respondents UBS Paine Webber, Inc. and Michael Hack Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Frederick Scharer ("Claimant") was represented by Robert C. Moilanen, Esq., Zimmerman Reed, P.L.L.P., Minneapolis, Minnesota. UBS Paine W