Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian and Regina Bergner (Claimants) v. J.B. Hanauer & Co., and Chris J. Plechy (Respondents) Case Number: 04-06129 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Brian and Regina Bergner hereinafter collectively referred to as "Claimants": Glen J. Vida, Esq., Springfield, NJ. Respondents J.B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name flHJmnnt 04-06128 Lahna J. Specht Name nf the Respondent Merrill Lynch, Pierce, Fenner& Smith, Inc. Henring Site; Norfolk, Virginia Nature of the Dispute: Customer vs. Member. OF PAPTTF.S Claimant, Lahna J. Specht, hereinafter referred to as "Claimant", was represented by W. Scott Greco, Esq., Greco & Greco, P.C., McLean, Virginia, Respondent, Merrill Ly

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06112 Rodney L. Vaughan Deborah J. Vaughan Names of the Respondents Hearing Site: Tampa, Florida Suntrust Securities, Inc. James Blake Buchanan, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rodney L. Vaughan ("R. Vaughan") and Deborah J. Vaughan ("D. Vaughan"), hereinafter c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06111 Michael L. Steinberg and Miriam F. Steinberg Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. Jason Gionet Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael L. Steinberg and Miriam F. Steinberg, hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Jean Simpkins, individually, as trustee of the Mary Jean Sbnpkins Trust DTD 8/12/99, and as custodian for Bradley Cameron Crowe and Ciera Anabelle Crowe, Claimants v. A.G. Edwards & Sons, Inc. and Michael L. Tahrnoush, Respondents Case Number: 04-06107 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIE

NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the r.lnimnnt ' ' P-HM Number 04-06094 SusanB.Wald nf the ^ftgpnndentg Hearing Site 1 Washington, DC Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. WFPRFSF.NTATTflN OF PAPTTF.S Claimant, Susan B. Wald, hereinafter referred to as "Claimant", was represented by William

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bruce L. Lamb IRA Names nf the Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. Jack B. Grubman . Nnmtwr- 04-06093 Hearing SiTp: Charlotte, North Carolina Nature of the Dispute; Customer vs. Member and Associated Person. RF.PRFSRNTATTON OF PAKTTP.S Claimant, Bruce L. Lamb IRA, hereinafter referred to as "Claimant", w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond J. Masek (Claimant) v. Citigroup Global Markets, Inc., Holly Becker, Sallie Krawcheck and Ted Marroulis Case Number: 04-06081 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Raymond J. Masek, hereinafter referred to as "Claimant," appeared pro se. Respondents Citigroup Global Markets, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06078 Bernice Chapman a/k/a Bunny Arbona, Individually and as the Personal Representative of The Estate of Clara Bruches Paul Chapman Name of the Respondent Hearing Site: New Orleans, LA Whitney Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bernice Chapman a/k/a Bunny Arbona., Individ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence J. Sarkis, D.D.S. Claimant v. Naomi R. Monschein and Monschein & Associates, Respondents Case Number: 01 -00279 Hearing Site: San Francisco, California For Claimant: Paul L. Warner, Esq. Jeffer, Mangels, Butler and Marmaro San Francisco, California For Respondents Naomi R. Monschein and Monschein & Associates: Gilda R. Turitz, Esq. Sideman & Bancroft LLP