Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fred Hurst, (Claimant) vs. Prime Charter, Ltd., Morton Cropper and Bruce Cropper (Respondents) Case Number: 01-00276 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fred Hurst, hereinafter referred to as "Claimant", appeared pro se. Represented at the hearing in this matter by: Kent Gross, Esq., New York, NY. Respondent, Prime Charter, Ltd., hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant f!ase Number: 04-06015 ETrade Securities, LLC Names of the. Respondents Hearing Site: Washington, D.C. BinKe International United Business, Inc. Nature of the Dispute: Member vs. Customers. RKPRFSFIVTATinN OF PARTIES Claimant, E*Trade Securities, LLC, hereinafter referred to as "Claimant", was represented by JohnBersin, Esq., E*Trade Securities, LLC,

NASD DISPUTE RESOLUTION AWARD >T ASD DISPUTE RESOLUTION CASE: 04-06006 Susan L. Pral, Claimant v. Piper Jaffray & Co., Respondent ATTORNEYS: Claimant, Susan L. Pral, ("Claimant") appeared pro se, St. Charles, MO. Respondent, Piper Jafrray & Co., ("Respondent") appeared through its in-house counsel, Joseph D. Fleming, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customer vs. Member. " DATE FILED: August 23,2004. " ~~~ CASE SUMMARY: Claimant alle

NASD DISPUTE RESOLUTION AWARP NASD DISPUTE KBSOLUTION CASE: 04-0^004 Evelyn A. Jensen, Claimant v. Scottradc, Inc., Respondent ATTORNEYS:,; -• .;,' .•-,:,....;. , : : : ,;; ,. ; '..- .;. ::li " Claisiaiit Krelyn A. Jensefc pGS aimaiit") appeared pM se> For Respondent Scottrade, inc. C*Responderit") appeared ABdrtw G; Small, Esq,, in-house lj Scottrade, lac:,, St. Louis, MO. ;^ : NATURE OF DISPUTE: Customer vs. Member.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Laurie Andrijeski Names of the Respondents Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. JackB. Grubriian Case Number: 04-05994 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Laurie Andrijeski, hereinafter referred to as "Claimant": Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Hugh M. McAdams & Patricia M. McAdams JTWROS Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05988 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hugh M. McAdams & Patricia M. McAdams J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05985 Angelo Charles Cocuzza, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared James Richard Hooper, Esq., of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants L. Frank Lipsey and Nancy S, Lipsey JTTEN Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Bl Grubman Case Number: 04-05975 Hearing Site; Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For L. Frank Lipsey and Nancy S. Lipsey JTTEN,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05968 William E. Ryan and Maya J. Ryan JTWROS Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William E. Ryan and Maya J. Ryan JTWROS, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant , riase Number 04-05961 J. Steen Fender, IRA , Names nf the Kftspnnftents Hearing Site: Charlotte, North Carolina Citigroup Global Markets, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. RFPttFSFNTATTON OF PARTIES Claimant, J. Steen Fender, IRA, hereinafter referred to as "Claimant", was represented by Michael B