AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald Hunter and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 03-02160 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Donald Hunter ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfiel

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Samuel Greene Case r 03-02159 ing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Eugene Dewey Foxworth, m Charles Hugh Maguire, m Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRF.SP1MTATTON OF PARTTFS Claimant, Samuel Greene, hereinafter referred to as "Claimant", was represented by Kevin Rosen, Esq. and Andrew

Award NASD Dispute Resolution In the Matter of the Arbitration Between: One World Trust, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 03-02156 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Fred Rucker, Esq. Law Offices of Fred Rucker Los Angeles, California For Respondent: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, Californ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victoria Moran (Claimant) v. Citibank, N.A. (Respondent) Case Number: 03-02155 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Non-Member. REPRESENTATION OF PARTIES Claimant Victoria Moran ("Moran'*) hereinafter referred to as "Claimant" appeared pro se. Respondent Citibank, N.A. ("Citibank") hereinafter referred to as "Respondent": Ira G. Rosens

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 03-02152 Marion F. Brink Name of the Respondents Hearing Site: Chicago, Illinois Assist Investment Management Co., Inc., Arthur C. Peterson, Dean A. Bengen, and Patricia A. Peterson NATURE OF THE DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Stephen S. Berkeley, Esq., of the firm Shaheen

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Eugene Nowoswiat and Marilyn Nowoswiat (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and David Russell (Respondents) Case Number: 03-02144 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Eugene and Marilyn Nowoswiat (the "Nowoswiats") hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf fhg Claimants Pase Numhftr 03-02142 Dr. Harry Alexanderian and Mrs. Adele Alexanderian Names of tb^ Respondents Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Reuben S. Birnbaum Nature of the Dispute: Customer vs. Member and Associated Person UFPRF.SF.NTATION OF PARTIES Claimants, Dr. Harry Alexanderian and Mrs. Adele Alexa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Mari Vanderhoff, Joyce Lynn Mills and Bud Scott, Respondents Case Number: 03-02141 Hearing Site: Seattle, Washington Nature of dispute: Member Firm v. Member Firm, Associated Persons and Non-Member REPRESENTATION OF PARTIES For Claimant: For Respondent Citigrou

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nelson J. Fitzpatrick (Claimant) v. UBS Financial Services, Inc. file/a UBS PaineWebber, Inc. and Christopher Grennon (Respondents) Case Number: 03-02132 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Nelson J. Fitzpatrick ("Fitzpatrick") hereinafter referred to as "Claimant": Richard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Saraceno and the Robert J. Saraceno Revocable Trust, (Claimants) vs. First Union Securities, Inc. and Steven Scher, (Respondents) Case Number: 01-01197 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Robert J. Saraceno ("Saraceno") and the Robert J. Saraceno Revocable Trust ("Saraceno Trust"), hereinafter collectively referred to as "Claimants": Ma