Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rebecca S. Stoddard (Claimant) v. MetLife Securities, Inc. and David Noel Morales (Respondents) Case Number: 03-02252 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rebecca S. Stoddard ("Stoddard") hereinafter referred to as "Claimant": Christine M. Bae, Esq., Bae & Associates, P.C and Carle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02251 Marjorie Goldstein, Custodian for Hillary and Melissa Goldstein, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and David Joel Cohen, Respondents. ATTORNEYS: For Claimant, Marjorie Goldstein, Custodian for Hillary and Melissa Goldstein, ("Claimant"), appeared George Warhit, Esq., of the firm George Warhit, P.C. New York, NY. Respondents, Citigroup Global Mar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jo Ann Jacobsen, Jo Ann Jacobsen IRA, Tinkerbelle Associates, Inc., and the Tinkerbelle Associates, Inc. Defined Benefit Plan Dated 1/1/02 (Claimants) v. Clearing Services of America, Inc. Eberhard Investment Associates, Inc. and Todd M. Eberhard (Respondents") Case Number: 03-02250 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Member, and Associa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number: 03-02248 Name of the Respondents Stephen M. Hammers ^ Planning Advantage Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch"): Joseph A. Dougherty, Esq., Rubin & Associates, P.C., 10 S. Leopard Rd., Pao

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Benjamin Thomas McElroy Jr., individually, as JTTEN the McElroy Family Versaille Ltd. Partnership and as Trustee for the McElroy Family Irrevocable Insurance Trust U/A dated 7/14/95 and Laura McElroy, individually and as JTTEN The McElroy Family Versaille Ltd. Partnership and Case Number: 03-02239 Hearing Site: Dallas, Texas Names of Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01208 GKN Securities, Corp., Inc., claimant vs. Patrick Keane, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Vice-President, New York, NY. Respondent appeared Pro Se, Tarrytown, NY. DATE FILED: March 12, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an unsecured promissory note. Claim Data Claim: $7,200.00 Interest: unspecified

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles J. Maly and Joyce E. Maly i and 03-02238 ', Omaha, Nebraska Names of Respondents i Piper Jaffray & Co. n/k/a U.S. Bancorp Piper Jaffray, Inc. < ' ;• i • Daniel Robert Lindstrom 1 ' i • Gregory S. Harris . ! . 1 ' ' . Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02233 Pam Johansen, Claimant vs. Salomon Smith Barney, Inc., Respondent. ATTORNEYS: Claimant, Pam Johansen ("Claimant"), appeared Pro Se., Juneau AK. Respondent, Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., ("Respondent") appeared through its in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: March 26, 2003 CASE SUMMARY: Claimant alleged that she purchased s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirlin Securities, Inc. (Claimant) v. John M. Lee (Respondent) Case Number: 03-02226 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kirlin Securities, Inc. ("Kirlin") hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq., Kirlin Securities, Inc., Syosset, NY. Respondent John M. Lee, ("Lee") herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall F. Roberts and Diane C. Roberts (Claimants) v. UBS PaineWebber. Inc., and Christopher Grennon (Respondents) Case Number: 03-02225 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Randall F. Roberts, IRA ("R. Roberts"), Diane C. Roberts, IRA ("D. Roberts") and Randall and Di