Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05899 Roger E. Stanley, IRA 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 Roger E. Stanley, IRA, hereinafter referred to as "Claimant": Michael B. Lync

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Steven D. O'Donneli, Respondent Case Number: 01-00265 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant First Union Securities: Diane C. Fischer Kane and Fischer Chicago, Illinois For Respondent Steven O'Donneli: R. Hays Goddard Goddard and Wetherall Bellevue, Washington CASE INFORMATION State

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05896 Robert B. Oleskow, Diana A. Oleskow Lubich, R.B. Oleskow & D.A. Oleskow Lubich Trust of '99 Claimant v. CITIGROUP GLOBAL MARKETS, INC. f7k/a SOLOMON SMITH BARNEY, INC. and JACK GRUBMAN ATTORNEYS: For Claimant: James Richard Hooper, Esquire: Hooper & Weiss, L.L.C ,Orlando, Florida. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grub

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •Kfamp nf fl^ rifrimaflt f>BR ^n^pf 04-05891 Bradley J.Albert pf th p 'Respnnderflg Hearing Sit p ' De Moines, Iowa Princor Financial Services Corporation, and Princor Financial Group NATTTPF Off TTTF Associated Person v. Member Firm and Non-Member Firm without Contract to Arbitrate PFPRF< SFNTATTON OF PAHTTP.S Claimant Bradley J, Albert, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Frances Bostian, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert F. Gallo, Respondents Case Number: 04-05887 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James E. Towery Hoge Fenton Jones & Appel Inc. San Jose, California For Respondents: Philip A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. Dickerson, on behalf of himself, his Individual Retirement Account and as Trustee for the Dickerson Family Trust and Mary Dickerson, on behalf of herself, her Individual Retirement Account and as Trustee for the Dickerson Family Trust, Claimants v. Prudential Equities Group, LLC 17k/a Prudential Securities Incorporated, A.G. Edwards & Sons, Inc., David Harrison Rascoe, and Shos

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the; Claimant J.P. Morgan Invest, LLC Names nf the Respondent^ Frederick J. Jinks Susan K. Jinks Case Number- 04-05880 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant, J.P. Morgan Invest, LLC, hereinafter referred to as "Claimant", was represented by Joshua E. Friedman, Esq., Bernkopf G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05877 CIBC World Markets Corp., Claimant v. Paula Karstens, Respondent ATTORNEYS: For Claimant CIBC World Markets Corp. ("Claimant") appeared Michelle Murphy, Esq., in- house counsel, CIBC World Markets Corp., New York, NY. Respondent Paula Karstens ("Karstens") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: August 20, 2004.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05875 Joseph Stevens & Co., Inc., Claimant v. Cyrus Khiabani, Respondent ATTORNEYS: For Claimant Joseph Stevens & Co., Inc. ("Claimant") appeared James E. Siegel, Esq., in-house counsel, Joseph Stevens & Co., Inc., New York, NY. Respondent Cyrus Khiabani ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: August 20

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) v. John larussi (Respondent) Case Number: 04-05873 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant First Montauk Securities Corp. hereinafter referred to as "Claimant": Joel Levinson, Esq., First Montauk Securities Corp., Red Bank, NJ. Respondent John larussi herein