Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Tuttle III, MD, Georgia Turtle, and the Tuttle Family Limited Partnership, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 04-08537 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Jared R.B. Hutton, Esq. .. ..; Law Offices of Jared R.B. Hutton

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08532 Mark V. Brown Name of the Respondent Hearing Site: Tampa, Florida Ad vest, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Mark V. Brown, hereinafter referred to as "Claimant": Bruce W. Barnes, Esq., Bruce W. Barnes, P.A., Clearwater, Florida, until July 19, 2005. Thereafter, Claimant appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08531 Margot Dealy Names of the Respondents Hearing Site: Birmingham, Alabama UBS Financial Services, Inc. Victor Hallman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margot Dealy, hereinafter referred to as "Claimant": Banks T, Smith, Esq., Hall, Smith, Prim & Freeman, P.A., Dothan,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08529 Robert Helft Name of the Respondent Hearing Site: Boca Raton, Florida J.B Hanauer & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Helft, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, P.A., Boca Raton, Florida until February 8, 2006. Thereafter, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phillip A. Baum, Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 04-08521 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: David M. Garrett Garrett Law Office, P.C. Tulsa, Oklahoma For Respondent: Robert B. Ericson Bingham McCutchen LLP Los Angeles, California CASE INFO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08508 Richard L. Davis (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimant Richard L. Davis ("Claimant") appeared Jan Graham, Esq., Jan Graham Law Offices, Salt Lake, City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared A. Jamie Schupp, Esq., Neal, Gerber & Eisenberg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08507 Vern L. Moore (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: ~ For Claimant Vern L. Moore ("Claimant") appeared Jan Graham, Esq., of the Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared Ann Parry, Esq., in-house counsel, Citigroup

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. n/k/a Wachovia Securities, Inc., Claimant v. Anthony B.J. Black, Respondent Anthony B J. Black, Counter-Claimant v. First Union Securities, Inc. n/k/a Wachovia Securities, Inc., Counter-Respondent Case Number: 01-00391 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent First Union Securities, Inc. n/k/a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08506 Charles Anderson, Claimant v. Morgan Stanley & Co., Inc., Respondent ATTORNEYS: Claimant Charles Anderson ("Claimant") appeared pro se, Boston, MA. For Respondent Morgan Stanley & Co., Inc. ("Respondent") appeared Harrison Kaufman, Esq., in-house counsel, Morgan Stanley & Co., Inc., Purchase, NY. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: December 14, 2004. CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Haruko Hochi, individually and as trustee of The Haruko Hochi Trust, Claimants v. Linsco/Private Ledger Corp., Joshua Van Ryswyk, Oai Baccam a/k/a Dan Baccam, Patric Baccam, Baccam & Associates, Inc., and Baccam & Company Insurance Services, Inc., Respondents Case Number: 04-08505 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Members, and Asso