Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Grodko, (Claimant) vs. Montrose Capital Management Ltd., Alexander Wescott & Co., Inc., and Epifanio Almadovar, (Respondents) Case Number: 01-00275 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey Grodko, hereinafter referred to as "Claimant", appeared pro se. Respondent, Montrose Capital Management Ltd. ("Montrose"), did not make an appearance in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Citigroup Global Markets, Inc. and Names of Respondents Bane of America Investment Services, Inc., and David Scott Coffee Case Number: 04-05952 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Member Firm and Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Carolyn D. Roch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Codding, Claimant v. Raymond James Financial Services Inc., Legacy Financial Services, Inc., Investors Capital Corp., and James C. Abel, Jr., Respondents Case Number: 03-05945 Hearing Site: Salt lake City, Utah Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents Raymond James Financial Services

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant James H. Padgett Names nf the "Respondents Legacy Financial Services, Inc. Joseph R. Karsner, TV Case Number 04-05943 Hearing site- Washington, DC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIFS Claimant, James H. Padgett, hereinafter referred to as "Claimant", was represented by William B.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: BJJ Company, LLC (formerly BJJ Company, Inc.), Frances E. Blincoe and Helen Blincoe, co- trustees of the F. E. Blincoe Trust UAD 3/23/89, and F. Earl Blincoe and Helen Blincoe Family Limited Partnership, a California Limited Partnership, Claimants v. Painewebber Inc. (now known as UBS Financial Services Inc.), Lucille Prochoren, Sue Gaines, Cheryl Nettleton, and John S. Blinc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the riflimantfi Page Number 04-05934 Ronald and Patricia Coppola Guardians for Ryan Coppola, Colin Coppola and Catherine Coppola Names nftTip Respondents Hearing Site- Philadelphia, PA Wachovia Securities, LLC Thomas Michael Juliano Nature of the Dispute; Customers vs. Member and Associated Person. OF PAPTTTCS Claimants, Ronald and Patricia Coppola, guardian

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MflmftnfthePigimant CasfiNnmhRT. 04-05933 Joseph Catalano Site- Washington, D.C. Legacy Financial Services Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person KEPPFSFNTATTHNr OFPARTIFS Claimant Joseph Catalano, hereinafter collectively referred to as "Claimant", was represented'by William B. Young, Esq., Hooper & Weiss,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05921 Nadia Delia Volpe (Claimant) v. Sterling Financial Investment Group, Inc., Brian Lieberman, Jodi Isdith, and George Bush (Respondents) ATTORNEYS: ~ ~ ~ ~ ~ Claimant appeared pro se, Kobe Sound, FL. For Respondents Sterling Financial Investment Group, Inc., Brian Lieberman, and Jodi Isdith appeared Marc L. Abramson, Esq., in-house counsel, Sterling Financial Investme

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05913 Margaret M. Thayer Trust and Robert W. Thayer Trust, (Claimants) vs. Citigroup Global Markets, Inc., f/k/a/ Salomon Smith Barney, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimants appeared James Richard Hooper, Esq. of the firm Hooper & Weiss, L.L.C., Orlando, FL. For Respondents appeared Michael D. Wallander, Esq., of the firm Greenberg Traurig, LLP, West Palm Beach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Alan Silver Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-05902 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Alan Silver ("Silver"), hereinafter referred to as "Claiman