Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard S. Brehnan, Leslie S. Breiman, The Breiman Family Trust, East Bay Medical Imaging Associates & Medical Group, Inc. DBPP fbo Richard S. Breiman, Richard Breiman IRA Rollover and David Stamm IRA (deceased) fbo Leslie Breiman, Claimants v. Round Hill Securities, Inc., Hotovec, Pomeranz & Co., Inc., Louis J. Bacher, Jr., Robert J. Holub, Robert S. Minka, Gerald H. Burchard, Jr., and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05690 Sylvia Purisch Arthur Purisch Ttee FBO Sylvia Purisch Rev Trust Arthur Purisch, IRA Arthur Purisch Ttee FBO Arthur and Neil Purisch Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Perso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name'nf the Claimant Gary Hooper IRA Names nf the Respond ants Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. JackB. Grubman Case Number- 04-05674 aring Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTTF.S Claimant, Gary Hooper IRA, hereinafter referred to as "Claimant", was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nf the PlaiTTiant Pase Niimhffr 04-05665 Nancy R. Witzel Name nf the Respondent Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Nancy R. Witzel, hereinafter referred to as "Claimant", was not represented by counsel. Respondent, Salomon S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gwendolyn Cruchon, Claimant v. Securities America, Inc. and Mark Alexander Taylor, dba Winthrop Taylor Asset Management, Respondents Case Number: 04-05654 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Consolidated Case entitled "Drolson/National Planning Corporation'*: Consolidated Case Number: 04-05653 Hearing Site: San Diego, California Paul E. Drolson, Claimant v. National Planning Corporation, Respondent Case Number: 04-05653 Nature of the Dispute: Associated Person v. Member National Planning Corporation, Claimant v. Paul E. Drolson, Respondent Case Number: 04-05802 Nature of the

V NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05648 Shiel Family Trust, Claimant v. Capital Securities of America, Inc. and Cesar P. Aquino, Respondents ATTORNEYS: Claimant, Shiel Family Trust, appeared through, Howard E. Shiel, Jr., Trustee, Seattle, WA. For Respondents, Capital Securities of America, Inc. and Cesar P. Aquino, (collectively "Respondents"), appeared Craig G. Pelini, Esq., of the firm Pelini & Fischer, Ltd., North

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Lauren M. Montillo vs. EB1 Securities Corporation a/k/a Global Capital Securities Corporation, and Andrew Scott Koppel. Case Number: 04-5643 SITUS: Baltimore, Maryland. NATURE OF DISPUTE: Customer v. Terminated Member and Associated. Person REPRESENTATION OF PARTIES Claimant, Lauren M. Montillo "Claimant", was represented by William N. Butler, Esq., Howard, Butler & Melfa, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names Claimnnta Robert M. Pollock Susan R. Pollock Margaret Pollock Names nf the Respondents Van Kampen Funds, Inc. National City Bank of Pennsylvania Edward J. Pollock, Sr. Larry J. Pollock, Sr. Barbara Vargo Ca^ Nnmhq- 04-05632 Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member, Non-Member and Customers. PFPRFSFNT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brandy Chantell Ness, Case Number:- 04-05631 Claimant, v. H&R Block Financial Advisors, Inc. and Hearing Site: Indianapolis, Indiana Imran Nasim Shams, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Brandy Chantell Ness ("Ness"), hereinafter referred to as "Claimant": Robert Bertsch, Esq. of