Award NASD Dispute Resolution In the Matter of the Arbitration Between: William D. Arndt and Lori L. Arndt, Claimants v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc., Respondent Case Number: 04-07556 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: A. Daniel Woska, Esq. Woska & Hayes, LLP Oklahoma City, Oklahoma For Respondent: Joseph L. Calabrese, Esq.

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 04-07547 Merrill Lynch, Pierce, Fenner & Smith, Inc., Robert Milligan, and Gregory Pease, Claimants v. David Beauchamp and Nancy Beauchamp, Respondents ATTORNEYS: " " " ~~ For Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., appeared Frank Cuccio, Esq,, of the firm Bressler, Amery & Ross, P.C., New York, NY. For Claimants Robert Milligan and Gregory Pease appeared Daniel C. Zinm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07541 Lee R. King Marleen King Names of the Respondents Hearing Site: New Orleans, Louisiana A.G. Edwards & Sons, Inc. Glenn Bradford Seymour Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lee R. King ("L. King") and Marleen King ("M. King"), hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Jay Greenfield, Claimant v. Sentra Securities Corporation, Respondent Case Number: 04-07537 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member For Claimant: Jonathan Jay Greenfield In Propria Persona Los Angeles, California For Respondent: John K. Fahey, Esq. Sentra Securities Corporation Phoenix, Arizona CASE INFORMATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf th< * rigimnni Case Number 04-07524 Ed Marks Names nfthft R respondents Hearing Site' Baltimore, MD Eugene A. Profit E.S. Marks & Company, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. KFPKFSFNTATTON OF PARTTRS Claimant, Ed Marks, hereinafter referred to as "Claimant", was represented by Robert N. Kilberg, Esq., Robert N. Kilberg, P.A., Tows

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07520 Raymond James Financial Services, Inc., Claimant v. Larry Daniels, Respondent ATTORNEYS: For Claimant Raymond James Financial Services, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James Financial Services, Inc., St. Petersburg, FL. Respondent Larry Daniels ("Respondent") appeared pro se, Dayton, TN. NATURE OF DISPUTE: Member v. Associated Person. DAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07519 Jeffrey R. Chicola, Claimant v. Patrick Murtagh, Respondent ATTORNEYS: For Claimant Jeffrey R. Chicola ("Claimant") appeared M. David Sayid, Esq., of the firm Sayid and Associates, LLP, New York, NY. Respondent Patrick Murtagh ("Respondent") appeared pro se, Brick, NJ. NATURE OF DISPUTE: Associated Person vs. Associated Person. DATE FILED: October 26, 2004. CASE SUMMARY: Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Sagawa (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Edward Alan Conklin, Sr. (Respondents) Case Number: 04-07518 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patricia Sagawa ("Sagawa") hereinafter referred to as "Claimant": Paul K. Stecker, Esq., Phillips Lytle, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer& Co. Inc., Claimant v. Jonathan A. Nguyen, Respondent Case Number: 04-07517 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Andrew J. Kohler, Esq. Oppenheimer & Co. Inc. New York, New York CASE INFORMATION Statement of Claim filed: October 26,2004 Claimant's Uniform Submissio

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-00333 Joan Hunsberger and Douglas Holley as Co-Trustees of the Holley Irrevocable Family Trust Naomi Holley as Beneficiary of the Holley Irrevocable Family Trust YAD 11/20/92 Names of the Respondents Hearing Site: Boca Raton, FL CIBC Oppenheimer, Corp. Lawrence S. Rule, Jr. Arthur W. Lewis Nature of the Dispute: Custo